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\  ^  S.  Hrg.  105-205,  Pt.  5 

CONHRMATION  HEARINGS 
ON  FEDERAL  APPOINTMENTS 


Y  4.J  89/2: 
S.HRG.105-205/PT.5 

Confimation  Hearings  on  federal  Appointments,  S.  Hrg. 
Part  5,  September  9;  October  1;  October  6;  Oct 


b- 


BRINGS 

BEFORE  THE 

[^COMMITTEE  ON  THE  JUDICIARY 
UNITED  STATES  SENATE 

ONE  HUNDRED  FIFTH  CONGRESS 

SECOND  SESSION 

ON 

CONFIRMATION  OF  APPOINTEES  TO  THE  FEDERAL  JUDICIARY 


SEPTEMBER  9;  OCTOBER  1;  OCTOBER  6;  OCTOBER  7,  1998 


Part  5 


Serial  No.  J-105-4 


Printed  for  the  use  of  the  Committee  on  the  Judiciary 


4 


■    /         / 


S.  Hrg.  105-205,  Pt.  5 

CONHRMATION  HEARINGS 
ON  FEDERAL  APPOINTMENTS 


HEARINGS 

BEFORE  THE 

COMMITTEE  ON  THE  JUDICIARY 
UNITED  STATES  SENATE 

ONE  HUNDRED  FIFTH  CONGRESS 

SECOND  SESSION 

ON 

CONFIRMATION  OF  APPOINTEES  TO  THE  FEDERAL  JUDICIARY 


SEPTEMBER  9;  OCTOBER  1;  OCTOBER  6;  OCTOBER  7,  1998 


Parts 


Serial  No.  J-105-4 


Printed  for  the  use  of  the  Committee  on  the  Judiciary 


U.S.  GOVERNMENT  PRINTING  OFFICE 
53-754  WASHINGTON  :  1999 

For  sale  by  the  U.S.  Government  Printing  Office 

Superintendent  of  Documents,  Congressional  Sales  Office,  Washington,  DC  20402 

ISBN  0-16-058115-X 


COMMITTEE  ON  THE  JUDICIARY 


ORRIN  G. 
STROM  THURMOND,  South  CaroUna 
CHARLES  E.  GRASSLEY,  Iowa 
ARLEN  SPECTER,  Pennsylvania 
FRED  THOMPSON,  Tennessee 
JON  KYL,  Arizona 
MIKE  DeWINE,  Ohio 
JOHN  ASHCROFT,  Missouri 
SPENCER  ABRAHAM,  Michigan 
JEFF  SESSIONS,  Alabama 


HATCH,  Utah,  Chairman 

PATRICK  J.  LEAHY,  Vermont 
EDWARD  M.  KENNEDY,  Massachusetts 
JOSEPH  R.  BIDEN,  Jr.,  Delaware 
HERBERT  KOHL,  Wisconsin 
DLANNE  FEINSTEIN,  California 
RUSSELL  D.  FEINGOLD,  Wisconsin 
RICHARD  J.  DURBIN,  Illinois 
ROBERT  G.  TORRICELLI,  New  Jersey 


Manus  Cooney,  Chief  Counsel  and  Staff  Director 
Bruce  A.  Cohen,  Minority  Chief  Counsel 


(II) 


CONTENTS 


HEARING  DATES 

Page 

Wednesday,  September  9,  1998  1 

Thursday,  October  1,  1998  359 

Tuesday,  October  6,  1998  639 

Wednesday,  October  7,  1998  1101 

WEDNESDAY,  SEPTEMBER  9,  1998 

Statements  of  Committee  Members 

Thurmond,  Hon.  Strom  1 

Feinstein,  Hon.  Dianne  4 

Prepared  statement  5 

Sessions,  Hon.  Jeff 11 

Leahy,  Hon.  Patrick  (prepared  statement)  12 

Introduction  of  Nominees 

Hollings,  Hon.  Ernest  2 

Prepared  statement  3 

Shelby,  Hon.  Richard  C  6 

Prepared  statement  7 

Byrd,  Hon.  Robert  C  7 

Rockefeller  IV,  John  D  10 

Testimony  of  Nominees 

Robert  B.  King,  of  West  Virginia,  to  be  U.S.  Circuit  Judge  for  the  Fourth 

Circuit  13 

Questioning  by: 

Senator  Thurmond  14 

Senator  Sessions 15 

Senator  Durbin  18 

William  B.  Traxler,  Jr.,  of  South  Carolina,  to  be  U.S.  Circuit  Judge  for 

the  Fourth  Circuit 14 

Questioning  by: 

Senator  Thurmond  14 

Senator  Sessions 15 

Senator  Durbin  18 

H.  Dean  Buttram,  Jr.,  of  Alabama,  to  be  U.S.  District  Judge  for  the  Northern 

District  of  Alabama  20 

Questioning  by: 

Senator  Sessions 22 

Inge  Prytz  Johnson,  of  Alabama,  to  be  U.S.  District  Judge  for  the  Northern 

District  of  Alabama  20 

Questioning  by: 

Senator  Sessions 22 

Thomas  J.  Whelan,  of  Cahfomia,  to  be  U.S.  District  Judge  for  the  Southern 

District  of  California  21 

Questioning  by: 

Senator  Sessions 21 


(III) 


rv 

Page 

Alphabetical  List  and  Materlvl  Submitted 

Buttram  Jr.,  H.  Dean: 

Testimony  20 

Questionnaire 217 

Johnson,  Inge  Prytz: 

Testimony 20 

Questionnaire 267 

King,  Robert  B.: 

Testimony 13 

Questionnaire 27 

Traxler  Jr.,  William,  B.: 

Testimony 14 

Questionnaire 165 

Whelan  Thomas  J.: 

Testimony  21 

Questionnaire 307 

Questions  and  Answers 

Responses  of  William   B.   Traxler,  Jr.   to  written   questions  from   Senator 

Ashcroft  345 

Responses  of  Inge  Prytz  Johnson  to  written  questions  from  Senator  Ashcroft  ..  347 

Responses  of  Robert  Bruce  King  to  written  questions  from  Senator  Ashcroft  ...  349 

Responses  of  Thomas  J.  Whelan  to  written  questions  from  Senator  Ashcroft  ...  354 
Responses  of  Horace  Dean  Buttram,  Jr.  to  written  questions  from  Senator 

Ashcroft 355 

THURSDAY,  OCTOBER  1,  1998 

Statement  of  Committee  Members 

Thompson,  Hon.  Fred 359 

Thurmond,  Hon.  Strom  362 

Feinstein,  Hon.  Dianne  364 

Kennedy,  Hon.  Edward  M.  (prepared  statement)  379 

Introduction  of  Nominees 

Gorton,  Hon.  Slade  359 

HoUings,  Hon.  Ernest  F  360 

Clybum,  Hon.  James  E  362 

Packard,  Hon.  Ron  363 

Royce,  Hon.  Edward  R 363 

Frist,  Hon.  Bill  365 

Murray,  Hon.  Patty  366 

Prepared  statement  366 

Cox,  Hon.  Christopher 367 

Velazquez,  Hon.  Nydia  368 

Sanchez,  Loretta  369 

Romero-Barcelo,  Carlos  (prepared  statement)  377 

McCain,  Hon.  John  (prepared  statement)  378 

Gutierrez,  Hon.  Luis  V.  (prepared  statement)  379 

Testimony  of  Nominees 

Hon.  David  O.  Carter,  of  California,  to  be  U.S.  District  Court  Judge  for 

the  Central  District  of  CaUfomia 371 

Questioning  by: 

Senator  Thompson 372 

Senator  Thurmond  374 

Senator  Feinstein  375 

Hon.  Robert  S.  Lasnik,  of  Washington,  to  be  U.S.  District  Judge  for  the 

Western  District  of  Washington 371 

Questioning  by: 

Senator  Thompson 373 

Senator  Thurmond  374 

Senator  Feinstein  375 


V 

Page 

Anabelle  Rodriguez,  of  Puerto  Rico,  to  be  U.S.  District  Court  Judge  for  the 

District  of  Puerto  Rico  371 

Questioning  by: 

Senator  Thurmond  374 

Senator  Feinstein  375 

Margaret  R.  Seymour,  of  South  Carolina,  to  be  U.S.  District  Judge  for  the 

District  of  South  Carolina  371 

Questioning  by: 

Senator  Thurmond  374 

Senator  Feinstein  375 

Hon.  Aleta  A.  Trauger,  of  Tennessee,  to  be  U.S.  District  Judge  for  the  Middle 

District  of  Tennessee  37 

Questioning  by: 

Senator  Thompson 37 

Senator  Thurmond  37 

Senator  Feinstein  37-x 

Alphabetical  List  and  Material  Submitted 

Carter,  Hon.  David  O.: 

Testimony 371 

Questionnaire 381 

Lasnik,  Hon.  Robert  S.: 

Testimony 371 

Questionnaire 444 

Rodriguez,  AnabeUe: 

Testimony 371 

Questionnaire 474 

Seymour,  Hon.  Margaret  B.: 

Testimony  371 

Questionnaire 510 

Trauger,  Hon.  Aleta  A.: 

Testimony 372 

Questionnaire 553 

Questions  and  Answers 

Responses  of  David  Carter  to  written  questions  from  Senators: 

Ashcroft  613 

Sessions  615 

Responses  of  Robert  S.  Lasnik  to  written  questions  from  Senators: 

Ashcroft  618 

Sessions  620 

Responses  of  AnabeUe  Rodriguez  to  written  questions  from  Senators: 

Sessions  623 

Ashcroft  626 

Torricelli  628 

Responses  of  Margaret  B.  Seymovur  to  written  questions  from  Senators: 

Ashcroft  630 

Sessions  632 

Responses  of  Judge  Aleta  A.  Trauger  to  written  questions  from  Senators: 

Ashcroft  635 

Sessions  637 

TUESDAY,  OCTOBER  6,  1998 

Statement  of  Committee  Member 

Specter,  Hon.  Arlen  639 

Introduction  of  Nominees 

McDade,  Hon.  Joseph  M  640 

Prepared  statement 640 

Santorum,  Hon.  Rick  641 

Robb,  Hon.  Charles  S  641 

Piepared  statement  642 

Warner,  Hon.  John  (prepared  statement) 643 


VI 

Page 

Moseley-Braun,  Hon.  Carol  (prepared  statement)  643 

Norton,  Eleanor  Holmes 644 

Babauta,  Hon.  Juan 645 

Sarbanes,  Hon.  Paul  S  650 

Testimony  of  Nominees 

William  J.  Hibbler,  of  Illinois,  to  be  U.S.  District  Judge  for  the  Northern 

District  of  Illinois  646 

Questioning  by: 

Senator  Specter  646 

Senator  Durbin  652 

Senator  Biden  654 

Yvette  Kane,  of  Pennsylvania,  to  be  U.S.  District  Judge  for  the  Middle  Dis- 
trict of  Pennsylvania  647 

Questioning  by: 

Senator  Specter  647 

Senator  Durbin  652 

Senator  Biden  654 

Matthew  F.  KenneUy,  of  lUinois,  to  be  U.S.  District  Judge  for  the  Northern 

District  of  Illinois  647 

Questioning  by: 

Senator  Specter  647 

Senator  Durbin  653 

Senator  Biden  654 

James  M.  Munley,  of  Pennsylvania,  to  be  U.S.  District  Judge  for  the  Middle 

District  of  Pennsylvania  647 

Questioning  by: 

Senator  Specter  647 

Senator  Durbin  653 

Senator  Biden  654 

Alex  R.  Munson,  of  the  Northern  Mariana  Islands,  to  be  U.S.  District  Judge 

for  the  District  Court  for  the  Northern  Mariana  Islands  648 

Questioning  by: 

Senator  Specter  648 

Senator  Durbin  653 

Senator  Biden  654 

Lawrence  Baskir,  of  Maryland,  to  be  Judge  of  the  U.S.  Court  of  Federal 

Claims  658 

Questioning  by: 

Senator  Specter  658 

Senator  Durbin  662 

Francis  M.  AUegra,  of  Virginia,  to  be  Judge  of  the  U.S.  Court  of  Federal 

Claims  659 

Questioning  by: 

Senator  Specter  659 

Senator  Durbin  662 

Lynn  Jeanne  Bush,  of  the  District  of  Columbia,  to  be  Judge  of  the  U.S. 

Court  of  Federal  Claims 659 

Questioning  by: 

Senator  Specter  659 

Senator  Dvu-bin  662 

Edward  J.  Daraich,  of  Virginia,  to  be  Judge  of  the  U.S.  Court  of  Federal 

Claims  660 

Questioning  by: 

Senator  Specter  660 

Senator  Durbin  662 

Nancy  B.  Firestone,  of  Virginia,  to  be  Judge  of  the  U.S.  Court  of  Federal 

Claims  661 

Questioning  by: 

Senator  Specter  661 

Senator  Durbin  662 

Emily  Clark  Hewitt,  of  Massachusetts,  to  be  Judge  of  the  U.S.  Court  of 

Federal  Claims  661 

Questioning  by: 

Senator  Specter  662 

Senator  Durbin  662 


VII 

Page 

Alphabetical  List  and  Material  Submitted 

Alle^a,  Francis  M.: 

Testimony  659 

Questionnaire 897 

Baskir,  Lawrence: 

Testimony 658 

Questionnaire 862 

Bush,  L5Tin  Jeanne: 

Testimony 659 

Questionnaire 943 

Damich,  Edward  J.: 

Testimony 660 

Questionnaire 972 

Firestone,  Nancy  B.: 

Testimony 661 

Questionnaire 1006 

Hewitt,  Emily  Clark: 

Testimony 661 

Questionnaire 1038 

Kibbler,  WiUiam  J.: 

Testimony 646 

Questionnaire 665 

Kane,  Yvette: 

Testimony  647 

Questionnaire 697 

Kennelly,  Matthew  F.: 

Testimony 647 

Questionnaire 725 

Munley,  James  M.: 

Testimony 647 

Questionnaire 761 

Munson,  Alex  R.: 

Testimony 648 

Questionnaire 802 

Specter,  Hon.  Arlen:  Letter  from  Stephen  M.  Minikes,  Reid  &  Priest  LLP, 
dated  Aug.  11,  1997  650 

Questions  and  Answers 

Responses  of  William  Hibbler  to  written  questions  from  Senators: 

Ashcroft  1077 

Sessions  1078 

Responses  of  Yvette  Kane  to  written  questions  from  Senators: 

Sessions  1080 

Ashcroft  1082 

Responses  of  Matthew  F.  Kennelly  to  written  questions  from  Senators: 

Ashcroft  1084 

Sessions  1086 

Responses  of  James  M.  Munley  to  written  questions  from  Senators: 

Ashcroft  1093 

Sessions  1095 

Responses  of  Alex  Munson  to  written  questions  from  Senators: 

Ashcroft  1097 

Sessions  1098 

WEDNESDAY,  OCTOBER  7,  1998 

Statement  of  Committee  Member 

Hatch,  Hon.  Orrin  G 1101 

Introduction  of  Nominees 

Moynihan,  Hon.  Daniel  Patrick  (prepared  statement)  1101 

D'Amato,  Hon.  Alfonse  M 1101 

Prepared  statement 1103 


VIII 

Page 

Testimony  of  Nominee 

Norman  A.  Mordue,  of  New  York,  to  be  U.S.  District  Judge  for  the  Northern 

District  of  New  York  1104 

Questioning  by  Senator  Hatch  1104 

Alphabetical  List  and  Material  Submitted 

Mordue,  Hon.  Norman  A.: 

Testimony  1104 

Questionnaire 1108 

ALPHABETICAL  LIST  OF  NOMINEES  FOR  FEDERAL  APPOINTMENTS 

Francis     Allegra,     of    Virginia,     to     be     Judge     of    the     U.S.     Court     of 

Federal  Claims  659 

Lawrence  Baskir,  of  Maryland,  to  be  Judge  of  the  U.S.  Court  of  Federal 

Claims  658 

Lynn  Jeanne  Bush,  of  the  District  of  Columbia,  to  be  Judge  of  the  U.S. 

Court  of  Federal  Claims  659 

H.  Dean  Buttram,  Jr.,  of  Alabama,  to  be  U.S.  District  Judge  for  the  Northern 

District  of  Alabama  20 

Hon.  David  O.  Carter,  of  California,  to  be  U.S.   District  Court  Judge  for 

the  Central  District  of  California 371 

Edward  J.  Damich,  of  Virginia,  to  be  Judge  of  the  U.S.  Court  of  Federal 

Claims  660 

Nancy  B.  Firestone,  of  Virginia,  to  be  Judge  of  the  U.S.  Court  of  Federal 

Claims  661 

Emily  Clark  Hewitt,  of  Massachusetts,  to  be  Judge  of  the  U.S.  Court  of 

Federal  Claims  661 

WiUiam  J.  Hibbler,  of  lUinois,  to  be  U.S.  District  Judge  for  the  Northern 

District  of  Illinois  646 

Inge  Prytz  Johnson,  of  Alabama,  to  be  U.S.  District  Judge  for  the  Northern 

District  of  Alabama  20 

Yvette  Kane,  of  Pennsylvania,  to  be  U.S.  District  Judge  for  the  Middle  Dis- 
trict of  Pennsylvania  647 

Matthew  F.  Kennelly,  of  Illinois,  to  be  U.S.  District  Judge  for  the  Northern 

District  of  Illinois  647 

Robert  B.  King,  of  West  Virginia,  to  be  U.S.  Circuit  Judge  for  the  Fourth 

Circuit  13 

Hon.  Robert  S.  Lasnik,  of  Washington,  to  be  U.S.  District  Judge  for  the 

Western  District  of  Washington 371 

Hon.  Norman  A.  Mordue,  of  New  York,  to  be  U.S.  District  Judge  for  the 

Northern  District  of  New  York  1104 

James  M.  Munley,  of  Pennsylvania,  to  be  U.S.  District  Judge  for  the  Middle 

District  of  Pennsylvania  647 

Alex  R.  Munson,  of  the  Northern  Mariana  Islands,  to  be  U.S.  District  Judge 

for  the  District  Court  for  the  Northern  Mariana  Islands  648 

Anabelle  Rodriguez,  of  Puerto  Rico,  to  be  U.S.  District  Judge  for  the  District 

of  Puerto  Rico  371 

Hon.  Margaret  B.  Seymour,  of  South  Carolina,  to  be  U.S.  District  Judge 

for  the  District  of  South  Carolina  371 

Hon.  Aleta  A.  Trauger,  of  Tennessee,  to  be  U.S.  District  Judge  for  the  Middle 

District  of  Tennessee  372 

William  B.  Traxler,  Jr.,  of  South  Carolina,  to  be  U.S.  Circuit  Judge  for 

the  Fourth  Circuit  14 

Thomas  J.  Whelan,  of  California,  to  be  U.S.  District  Judge  for  the  Southern 

District  of  California  21 


NOMINATIONS  OF  ROBERT  B.  KING,  WILLIAM 
B.  TRAXLER,  JR.  (U.S.  CIRCUIT  JUDGES); 
H.  DEAN  BUTTRAM,  JR.,  INGE  PRYTZ  JOHN- 
SON, THOMAS  J.  WHELAN  (U.S.  DISTRICT 
JUDGES) 


WEDNESDAY,  SEPTEMBER  9,  1998 

U.S.  Senate, 
Committee  on  the  Judiciary, 

Washington,  DC. 
The  committee  met,  pursuant  to  notice,  at  2:05  p.m.,  in  room 
SD-226,  Dirksen  Senate  Office  Building,  Hon.  Strom  Thurmond, 
presiding. 
Also  present:  Senators  Sessions,  Feinstein,  and  Durbin. 

OPENING  STATMENT  OF  HON.  STROM  THURMOND,  A  U.S. 
SENATOR  FROM  THE  STATE  OF  SOUTH  CAROLINA 

Senator  Thurmond.  The  committee  will  come  to  order.  I  wish  to 
welcome  all  of  you  to  this  hearing  of  the  Senate  Judiciary  Commit- 
tee. We  are  here  to  consider  judicial  nominees  for  the  circuit  court 
of  appeals  and  the  district  court.  It  is  a  pleasure  to  have  distin- 
guished members  of  the  Senate  present  to  introduce  particular 
nominees,  and  I  am  pleased  that  the  nominees  were  able  to  be  here 
today. 

Hearings  on  judicial  nominees  are  one  of  the  most  important  re- 
sponsibilities of  this  committee.  A  Federal  judgeship  is  not  only  a 
position  of  great  power  and  status,  it  is  also  one  of  greatest  respon- 
sibility to  the  people  of  this  Nation  and  to  the  Constitution. 

I  wish  to  proceed  in  the  following  manner:  After  I  call  on  the 
ranking  member  for  any  opening  statement,  I  would  like  for  the 
members  who  are  present  to  speak  in  support  of  particular  nomi- 
nees. Senators  will  constitute  the  first  panel.  Then  we  will  consider 
the  judicial  nominees  in  the  second  and  third  panels.  In  the  second 
panel  will  be  the  two  circuit  nominees.  Judge  William  Traxler  of 
South  Carolina  and  Robert  King  of  West  Virginia,  for  the  Fourth 
Circuit  Court  of  Appeals.  The  third  panel  will  consist  of  the  district 
court  nominees. 

Before  we  start  questioning  the  judges,  I  will  call  on  them  to 
make  any  opening  statement  that  they  wish  to  make  and  introduce 
any  friends  or  family  who  are  attending  with  them  today. 

I  don't  believe  we  have  a  ranking  member  here.  If  he  comes  in, 
just  send  him  on  up. 

It  gives  me  great  pleasure  to  introduce  to  the  committee  Judge 
William  B.  Traxler,  Jr.,  who  is  the  President's  nominee  to  be  a 

(1) 


judge  on  the  Fourth  Circuit  Court  of  Appeals.  Judge  Traxler  is 
highly  qualified  and  prepared  to  serve  on  the  fourth  circuit.  He  is 
an  outstanding  choice  for  this  most  honorable  position  of  public 

trust. 

After  graduating  from  the  University  of  South  Carolina  School  of 
Law,  where  he  served  on  the  Law  Review,  Judge  Traxler  started 
his  legal  career  in  private  practice  with  his  father  in  1973.  He  then 
went  to  work  in  the  State  district  attorney's  office,  which  our  State 
calls  the  solicitor's  office.  He  rose  to  become  solicitor  for  the  13th 
circuit.  In  that  capacity,  he  developed  a  reputation  as  a  tough  but 
fair  prosecutor. 

Later  he  was  elected  by  the  South  Carolina  Greneral  Assembly  to 
be  a  resident  circuit  court  judge  for  our  State  in  1985.  He  soon  be- 
came known  as  one  of  the  best  trial  court  judges  in  South  Carolina. 
President  Bush  nominated  him  for  the  district  court  in  1992  upon 
my  recommendation,  and  he  has  served  with  distinction  there  for 
the  past  6  years.  During  that  time,  he  has  been  active  in  helping 
promote  the  development  of  the  law  and  the  legal  system.  He  has 
lectured  and  written  for  numerous  continuing  legal  education  semi- 
nars for  the  South  Carolina  bar  and  other  legal  organizations.  Last 
year,  he  was  elected  to  the  board  of  directors  for  the  Federal 
Judges  Association. 

As  a  trial  judge  in  the  State  and  Federal  courts,  Judge  Traxler 
has  developed  a  reputation  for  being  fair,  courteous,  intelligent, 
well-prepared,  and  hard-working.  He  is  also  a  man  of  great  char- 
acter and  integrity.  He  is  married  and  has  two  children. 

I  have  spoken  to  and  heard  from  numerous  people  in  my  State 
who  wholeheartedly  endorse  this  nomination.  I  am  confident  he 
will  bring  the  fine  traits  that  have  made  him  such  a  popular  trial 
judge  with  him  to  the  appellate  court.  I  am  extremely  pleased  that 
he  is  before  us  today,  and  I  look  forward  to  his  quick  confirmation. 

Also,  I  understand  the  President  has  sent  his  choice  for  Judge 
Traxler's  replacement  to  the  Judiciary  Committee  today  Mag- 
istrate's Court  Judge  Margaret  Seymour.  She  is  a  fine  choice  and 
will  make  an  excellent  addition  to  the  district  court. 

I  will  now  turn  to  my  distinguished  colleague  from  South  Caro- 
lina, Senator  Hollings. 

STATEMENT  OF  HON.  ERNEST  F.  HOLLINGS,  A  U.S.  SENATOR 
FROM  THE  STATE  OF  SOUTH  CAROLINA 

Senator  Hollings.  Thank  you,  Mr.  Chairman. 

As  you  have  indicated.  Judge  Traxler  is  tried  and  true.  You 
would  think  after  having  been  one  of  the  most  successful  prosecu- 
tors, having  as  a  solicitor  gotten  more  convictions,  that  there  would 
have  been  disputes  when  you  recommended  him  for  the  U.S.  dis- 
trict judgeship.  But,  on  the  contrary,  on  both  sides  of  the  aisle,  de- 
fendants or  prosecuting  attorneys,  judges  or  practitioners,  plain- 
tiffs or  defendant's  counsel,  he  has  been  a  unanimous  choice.  I 
have  never  made  a  more  popular  choice  than  your  choice  as  the 
Federal  district  judge  now  to  be  elevated  to  the  full  circuit  court 
of  appeals.  I  think  about  the  only  thing  you  left  out  going  down  ad 
seriatim  was  that  the  Federal  judges  themselves  now  have  selected 
Judge  Traxler  on  the  board  of  directors  of  the  Federal  Judges  Asso- 
ciation to  represent  them. 


I  think  nothing  more  needs  to  be  said.  I  would  ask  consent  that 
my  prepared  statement  be  included  in  the  record  at  this  particular 
point. 

Senator  THURMOND.  Without  objection,  so  ordered. 

Senator  ROLLINGS.  Thank  you,  Mr.  Chairman. 

[The  prepared  statement  of  Senator  Hollings  follows:] 

Prepared  Statement  of  Senator  Ernest  F.  Rollings 

Mr.  Chairman,  members  of  the  Judiciary  Committee,  today  it  is  my  great  privi- 
lege to  introduce  to  you  U.S.  District  Judge  William  B.  Traxler,  who  has  been  nomi- 
nated to  serve  on  the  U.S.  Fourth  Circuit  Coxxrt  of  Appeals. 

I  can  think  of  no  one  better  suited  to  replace  Judge  Donald  Russell,  who  passed 
away  in  February,  than  Judge  Traxler.  Donald  Russell  was  one  of  South  Carolina's 
greatest  statesmen  and  jurists.  As  a  Judge  on  the  Fourth  Circuit  Court,  he  com- 
bined a  scholarly  and  keen  mind  with  a  pragmatic  approach  to  the  law.  Judge  Trax- 
ler also  epitomizes  these  qualities  and,  like  Donald  Russell,  is  highly  respected  in 
his  community  and  known  for  his  hvunility,  inteUigence,  compassion,  and  passion  for 
justice. 

Were  Judge  Traxler  a  lesser  man,  it  would  be  unfitting  to  make  such  compari- 
sons. But  as  one  outstanding  lawyer  from  South  CaroUna  wrote  to  me,  "the  selection 
of  Bill  Traxler  serves  to  honor  both  the  memory  of  Judge  Russell  and  the  federal 
judiciary  as  a  whole."  Strong  words,  but  entirely  deserved.  Indeed,  as  this  seasoned 
attorney's  words  indicate.  Judge  Traxler  is  one  of  South  Carolina's  most  esteemed 
jvuists. 

Of  covu-se.  Judge  Traxler  is  his  own  man,  and  he  brings  his  own  unique  experi- 
ences and  formidable  abilities  to  the  court.  He  has  attained  the  respect  of  laymen, 
lawyers,  and  jurists  alike — indeed,  one  of  his  colleagues  on  the  South  Carolina  Dis- 
trict Court  wrote,  "I  have  not  heard  one  adverse  comment  about  your  selection 
among  the  bench  and  bar.  This  is  a  rarity  which  speaks  volumes  about  Judge  Trax- 
ler"— and  he  has  achieved  great  success  the  hard  way,  by  paying  his  dues  and  work- 
ing his  way  up  the  legal  ladder  through  talent,  hard  work,  and  dedication  to  the 
life  of  the  law. 

Judge  Traxler  began  his  career  in  pubUc  service  as  an  assistant  to  the  SoUcitor 
for  South  Carolina's  Thirteenth  Judicial  Circuit.  He  worked  long  hours  for  modest 
pay,  learning  the  ropes  of  criminal  law  and  gaining  invaluable  courtroom  experience 
as  a  prosecutor.  In  his  work  as  Assistant  and  later  Deputy  SoUcitor,  he  was  able 
to  apply  the  theories  he  learned  in  law  school  to  the  practical  problems  he  encoun- 
tered every  day.  He  learned  the  virtues  of  pragmatism  as  well  as  scholarship  and 
passion — essential  quaUties  for  a  jurist. 

Having  earned  the  great  respect  of  the  people  of  Upstate  South  CaroUna  in  his 
five  years  as  a  prosecutor,  William  Traxler  was  elected  SoUcitor  for  the  Thirteenth 
Judicial  Circuit  of  South  CaroUna  in  1982.  He  was  a  fearless  prosecutor  whose  ofBce 
led  the  state  in  convictions  each  year  he  was  SoUcitor,  but  ne  also  supported  sen- 
tencing guideUnes  to  ensure  fair  treatment  of  criminal  defendants. 

Three  years  later,  the  South  CaroUna  General  Assembly  elected  him  Resident 
Judge  for  the  Thirteenth  Judicial  Circuit.  And  in  1992,  Judge  Traxler  was  confirmed 
as  a  U.S.  District  Judge  for  South  CaroUna,  after  Senator  Thurmond  recommended 
him  and  President  Bush  nominated  him  to  a  vacant  position.  This  year,  his  feUow 
federal  judges  in  the  Fourth  Circuit  elected  Judge  Traxler  to  represent  them  on  the 
Board  of  Directors  of  the  Federal  Judges  Association. 

So,  in  addition  to  earning  the  respect  of  his  community  through  his  impeccable 
character,  humility,  and  dedication  to  fighting  crime,  Judge  Traxler  has  earned  the 
respect  of  members  from  both  sides  of  the  aisles  in  the  South  CaroUna  General  As- 
sembly and  the  United  States  Senate.  In  the  law,  where  it  is  next-to-impossible  not 
to  alienate  someone  if  one  serves  as  a  prosecutor  and  a  judge,  attaining  this  broad 
support  and  admiration  is  no  mean  feat. 

Judge  Traxler  is  that  rare  and  valuable  pubUc  servant — a  jurist  who  combines  a 
keen  mind  and  legal  acumen  with  years  of  rich  experience  in  private  practice,  in 
the  trenches  of  law  enforcement,  and  in  the  courtroom  at  the  state  and  federal  dis- 
trict court  levels.  He  has  taught  and  written  on  the  law  and  is  weU-versed  in  civil 
and  criminal  law,  which  knowledge  wiU  serve  him  weU  on  the  appeUate  court. 

Mr.  Chairman,  I  cannot  overstate  the  essential  role  experience  plays  in  making 
a  good  judge.  Without  it,  one  cannot  come  to  measured  and  fair  judgment,  which 
is  the  essential  ingredient  to  success  on  the  bench.  Someone  once  said,  "Law  is  expe- 
rience developed  by  reason  and  appUed  continually  to  further  experience."  Judge 
Traxler  has  followed  this  maxim  to  the  letter,  applying  the  lessons  of  his  early  days 


as  a  prosecutor  and  judge  to  the  challenges  he  has  faced  as  a  U.S.  District  Judge. 
It  is  this  experience  and  constant  retesting  of  theory  against  practice  that  has 
helped  make  him  one  of  the  nations'  best  judges. 

Of  course,  as  many  of  my  colleagues  on  this  committee  know,  there  is  still  more 
to  a  good  judge  than  a  keen  mind  and  years  of  experience.  One  must  also  possess 
a  civil  and  even  humorous  disposition,  an  even-handed  and  measured  temperament, 
and  a  passion  for  justice  tempered  by  compassion. 

The  volxmies  of  letters  I  have  received  from  judges,  attorneys,  litigants,  and  even 
jurors  in  South  Carolina  attest  to  the  fact  that  Judge  Traxler  possesses  all  these 
virtues  in  great  quantity.  "Judge  Traxler's  patience  with  attorneys  is  unparalleled. 
His  himior  and  ability  to  put  laymen  at  ease  in  legendary.  Most  important,  every 
party  to  appear  before  Judge  Traxlor  receives  the  same  unbiased,  fair  and  careful 
consideration  of  his  case,"  wrote  a  former  law  clerk. 

"He  is  also  not  categorized  as  a  'plaintiffs  Judge'  or  a  'defendant's  Judge,'"  wrote 
an  attorney  who  has  argued  before  the  Judge.  These  quotes  are  typical  of  the  letters 
I've  received  regarding  Judge  Traxler,  every  one  of  which  applauded  his  character 
and  qualifications  and  urged  his  swift  confirmation.  Many  of  the  letter  writers,  al- 
though lauding  the  nomination  of  Judge  Traxler  to  the  Fourth  Ciicuit,  lamented  los- 
ing such  a  fine  and  experienced  trail  attorney  in  the  District  Court. 

I  would  like  to  assure  anyone  worried  about  South  Carolina's  losing  Judge  Traxler 
that  I  have  nominated  an  excellent  jurist.  Judge  Margaret  Seymour,  to  the  District 
Coxirt,  and  I  expect  President  Clinton  to  nominate  her  any  day  now.  She,  like  Judge 
Traxler,  combines  years  of  experience  in  the  trenches  with  a  passion  for  the  law, 
keen  mind,  and  measured  judgment.  I  look  forward  to  introducing  Judge  Seymour 
to  this  committee  and  urge  you,  Mr.  Chairman,  to  consider  her  nomination  as  soon 
as  it  becomes  possible. 

In  the  tradition  of  Donald  Russell  and  the  other  excellent  judges  who  have  served 
on  the  venerable  Fourth  Circuit,  Judge  Traxler  has  been  active  in  public  service  out- 
side the  courtroom.  Most  notably,  he  served  for  almost  a  decade  in  the  Army  and 
Army  Reserves,  and  has  been  active  in  serving  his  chiirch  and  community. 

Last,  but  certainly  no  least  in  evaluating  the  character  of  one  whose  duty  it  is 
to  render  judgment,  Judge  Traxler  is  a  loving,  devoted  husband  and  father.  His 
wife,  Patricia,  is  a  respected  instructor  at  Greenville  Technical  College.  Both  his 
sons  attend  public  schools  in  the  area — one  at  high  school,  the  other  at  Clemson 
University.  Indeed,  one  of  Judge  Traxler's  attributes  most  often  cited  by  the  letter- 
writers  I  mentioned  earlier  is  his  rock-soUd  devotion  to  his  family. 

It  occurred  to  me  this  morning  that  I  cannot  remember  ever  introducing  a  more 
qualified  nominee  to  the  federal  bench  than  Judge  William  Traxler.  I  am  confident 
he  will  prove  an  invaluable  addition  to  the  esteemed  Fourth  Circuit  Court  of  Ap- 
peals and  certain  the  wise  and  impartial  manner  in  which  he  applies  federal  law 
to  all  will  earn  him  the  respect  of  his  new  colleagues,  just  as  it  has  earned  him  the 
respect  not  only  of  Senator  Thurmond  and  myself  but  of  the  entire  state  of  South 
CaroUna. 

Mr.  Chairman  and  members  of  the  Judiciary  Committee,  it  is  my  great  privilege 
to  introduce  to  you  Judge  WiUiam  Traxler. 

Senator  Thurmond.  Senator  Feinstein. 

STATEMENT  OF  HON.  DIANNE  FEINSTEIN,  A  U.S.  SENATOR 
FROM  THE  STATE  OF  CALIFORNIA 

Senator  Feinstein.  Thank  you  very  much,  Mr.  Chairman. 

It  is  my  pleasure  to  introduce  you  to  Judge  Thomas  Whelan.  I 
recommended  Judge  Whelan 

Senator  Thurmond.  Where  is  he?  These  people  might  raise  their 
hands  when  their  name  is  called.  Thank  you  very  much. 

Senator  Feinstein.  I  recommended  Judge  Whelan  to  the  Presi- 
dent for  appointment  to  the  Federal  district  court  in  the  Southern 
District  of  California.  He  has  strong  bipartisan  support  through  the 
San  Diego  area.  He  has  been  8  years  a  superior  court  judge,  20 
years  a  deputy  district  attorney.  He  is  currently  the  presiding 
judge  of  the  San  Diego  Superior  Court.  He  oversees  a  71-judge  su- 
perior court.  And  during  his  tenure,  he  has  become  one  of  the  rare 
jurists  who  has  never  had  a  jury  trial  verdict  reversed. 


He  graduated  from  the  University  of  San  Diego.  He  has  pros- 
ecuted major  cases.  He  was  appointed  by  Governor  Deukmejian  to 
the  superior  court  in  1990,  and  he  receives  many  accolades  from 
many  different  people  who  will  be  in  the  text  of  my  remarks  when 
I  submit  them. 

I  do  wish  to  say  one  thing,  Mr.  Chairman.  If  it  is  possible  to 
move  this  judgeship  with  dispatch,  it  would  be  very  much  appre- 
ciated. The  chief  judge  of  San  Diego,  of  the  Federal  district  there, 
has  pointed  out  how  overwhelmed  that  court  is.  As  of  July  1  of  this 
year,  2,026  criminal  cases  were  filed  in  that  district,  many  of  them 
major  narcotics  cases,  a  lot  of  them  involving  the  area's  continuity 
with  Mexico.  They  have  experienced  a  17-percent  increase  this  year 
in  criminal  filings.  In  1996,  they  increased  by  69  percent  and  in 
1997,  by  51  percent.  So  it  is  projected  that  for  this  year  the  crimi- 
nal case  filings  will  total  4,052.  That  means  that  each  San  Diego 
Federal  judge  will  have  a  caseload  of  about  862  cases  per  judge. 
That  is  one-third  above  the  national  average  of  cases  per  judge. 

So  I  am  hopeful  that  this  appointment  can  be  made  with  dis- 
patch, and  I  would  like  to  ask  that  the  full  text  of  my  statement 
be  placed  in  the  record,  if  I  might. 

Senator  THURMOND.  Thank  you  very  much. 

Senator  Feinstein.  Thanks,  Mr.  Chairman. 

[The  prepared  statement  of  Senator  Feinstein  follows:] 

Prepared  Statement  of  Senator  Dianne  Feinstein 

Mr.  Chairman,  it  is  my  pleasure  to  introduce  Judge  Thomas  Whelan  to  this  Com- 
mittee today. 

I  recommend  to  President  Clinton  the  appointment  of  Superior  Court  Judge 
Whelan  to  serve  on  the  Federal  District  Court  in  the  Central  District  of  California. 

Judge  Whelan  has  strong,  bipartisan  support  throughout  the  San  Diego  area, 
based  upon  an  outstanding  reputation  earned  during  his  8  years  of  service  as  a  Su- 
perior Court  Judge  and  20  years  as  a  Deputy  District  Attorney.  I  beUeve  he  will 
make  an  excellent  federal  judge. 

Currently,  Judge  Whelan  serves  as  the  Presiding  Judge  of  the  San  Diego  Superior 
Court,  where  he  oversees  the  71-member  Superior  Court.  During  his  tenure,  he  has 
become  one  of  the  rare  jurists  who  has  never  had  a  jviry  trial  verdict  reversed. 

Let  me  provide  some  details  about  Judge  Whelan's  background: 

He  graduated  from  the  University  of  San  Diego,  where  he  also  received  his  law 
degree. 

During  his  20  year  tenure  as  a  Deputy  District  Attorney,  he  prosecuted  many 
high-profile  cases,  including  the  1975  triple  murder  by  an  18-year  Eagle  Scout,  and 
the  1989  trial  of  Daniel  Weedling,  who  was  convicted  of  stabbing  to  death  the  editor 
of  a  local  newspaper. 

In  1990,  he  was  appointed  by  Governor  George  Deukmejian  to  the  Superior  Coiut, 
the  first  San  Diego  Deputy  District  Attorney  ever  appointed  directly  to  the  Superior 
Court. 

Diuing  his  tenure  on  the  bench.  Judge  Whelan  has  ably  presided  over  high-profile 
cases,  including  the  murder  trial  of  Kerry  Dalton,  the  first  woman  in  San  Diego  to 
receive  the  death  penalty. 

Judge  Whelan  has  enjoyed  widespread  support  for  his  nomination,  receiving  many 
letters  from  peers  on  the  bench  and  law  enforcement  officials  throughout  the  com- 
munity: 

Presiding  Justice  Daniel  Kremer,  of  the  California  Fourth  District  Court  of  Ap- 
peal, said  Wheland  "was  a  vigorous  and  fair  prosecutor  who  has  become  an  excellent 
trial  judge.  He  is  knowledgeable,  fair,  hard  working  and  decisive.  He  has  proven 
particularly  able  in  displajdng  those  quaUties  while  handUng  sensitive  and  difficult 
high-profile  cases." 

U.S.  District  Court  Judge  Judith  Keep  said  "Judge  Whelan  is  a  no-nonsense  per- 
son whose  handhng  of  numerous  enormously  complex  cases  will  be  a  real  plus  for 
us  because  that's  what  we  do  most." 


Garry  Collins,  President  of  the  San  Diego  Police  Officers  Association,  "enthusiasti- 
cally supports"  Judge  Whelan  and  believes  that  he  will  "easily  fill  the  void  on  the 
Federal  District  Court  with  little  lag  time  due  to  his  experience  and  competence  as 
a  Judicial  Officer." 

Justice  Judith  Haller,  of  the  CaUfomia  Fourth  District  Court  of  Appeal,  said  that 
Judge  Whelan  "is  extremely  capable  and  has  incredibly  good  common  sense  and 
judgment." 

Judge  Whelan's  widespread  support  is  a  reflection  of  his  high  integrity,  his  intel- 
lect and  his  exemplary  professional  career.  The  great  respect  he  has  earned  from 
his  peers  and  the  legeil  community  demonstrates  his  quaUfication  for  service  on  the 
United  States  District  Coiut. 

In  closing,  I  would  also  like  to  stress  the  importance  of  confirming  Judge  Whelan 
swiftly. 

Chief  Judge  Marilyn  HufF  of  the  Southern  District  has  written  to  me  about  the 
tremendous  workload  in  her  district  and  the  desperate  need  for  Judge  Whelan  to 
be  confirmed  before  the  end  of  this  Congress. 

Judge  Huff  wrote:  "In  1997,  :he  Southern  District  had  one  of  the  highest  felony 
filings  in  the  nation.  As  of  July  1  of  this  year,  2026  criminal  cases  were  filed  this 
year  in  our  District.  We  already  have  experienced  a  17  percent  increase  this  year 
in  the  criminal  filings.  Our  criminal  filings  are  consistently  increasing — in  1996, 
criminal  felony  fiUngs  increased  by  69  percent  and,  in  1997,  these  filings  increased 
by  51  percent.  It  is  projected  that,  for  1998,  the  criminal  case  fihngs  will  total  4052 
filings. 

"Due  to  the  large  amount  of  criminal  filings  in  this  district,  our  judges  have  a 
caseload  well  beyond  the  national  and  local  average.  For  1997,  our  judges  had  a 
weighted  caseload  filing  of  862  cases  per  judge.  The  national  average  is  only  508 
cases  per  judge." 

The  confirmation  of  Judge  Whelan  will  go  a  long  way  toward  helping  the  District 
cope  with  this  growing  felony  docket. 

Mr.  Chairman  and  Members  of  the  Committee,  I  highly  recommend  Judge  Thom- 
as Whelan  and  have  the  full  confidence  that  he  will  serve  with  great  distinction  as 
a  United  States  District  Court  Judge. 

Thank  you,  Mr.  Chairman,  for  scheduling  this  hearing  today. 

Senator  Thurmond.  Senator  Shelby. 

STATEMENT  OF  HON.  RICHARD  C.  SHELBY,  A  U.S.  SENATOR 
FROM  THE  STATE  OF  ALABAMA 

Senator  Shelby.  Mr.  Chairman,  I  appreciate  you  letting  me  come 
here  this  early.  We  have  two  judges  who  have  been  nominated  from 
Alabama  in  the  northern  district;  we  have  Dean  Buttram  and  Inge 
Johnson.  Senator  Sessions  and  I  both  concur  in  the  President's 
nomination.  I  would  like  to  have  my  full  statement  be  made  part 
of  the  record,  but  without  any  reservation  whatsoever,  I  endorse 
Inge  Johnson  whom  I  have  known  for  some  25  years  or  more.  She 
has  an  outstanding  record  as  a  trial  judge,  as  a  circuit  judge. 

Dean  Buttram  was  an  outstanding  lawyer,  currently  is  in  north- 
em  Alabama.  He  has  broad  experience.  He  has  been  involved  in  ev- 
erything up  to  and  including  the  chairmanship  of  the  Ethics  Com- 
mission of  Alabama.  So  I  believe  he  brings  a  strong  perspective  and 
a  lot  of  integrity,  along  with  Judge  Johnson,  to  this  post,  and  I 
would  appreciate  any  opportunity  that  you  would  have  as  chairman 
to  move  these  nominations,  too. 

I  ask  unanimous  consent  that  my  entire  statement  be  made  part 
of  the  record. 

Senator  Thurmond.  Without  objection,  so  ordered. 

Senator  Shelby.  Thank  you. 

[The  prepared  statement  of  Senator  Shelby  follows:] 


Prepared  Statement  of  Senator  Richard  Shelby 

Mr.  Chairman,  I  come  before  you  today  to  express  my  support  for  the  judicial 
nomination  of  Horace  Dean  Buttram,  Jr.,  of  Centre,  Alabama  for  the  U.S.  District 
Court  for  the  Northern  District  of  Alabama. 

Mr.  Buttram  has  long  served  the  State  of  Alabama  in  many  capacities.  Following 
his  graduation  from  Jacksonville  State  University  where  he  received  his  B.A., 
M.B.A.,  and  M.P.A.,  Mr.  Buttram  received  his  Juris  Doctor  from  the  Cumberland 
School  of  Law  at  Samford  University.  In  1978  Mr.  Buttram  began  private  practice 
in  the  Centre  area.  In  1983,  Mr.  Buttram  was  appointed  to  serve  as  Municipal 
Judge  for  the  City  of  Centre.  Mr.  Buttram  has  been  reappointed  to  this  two-year 
termed  position  eight  consecutive  times. 

In  1992,  Mr.  Buttram  was  appointed  by  the  Governor,  Lt.  Governor,  and  Speaker 
of  the  House  of  Representatives  of  the  State  of  Alabama  to  serve  as  a  member  of 
the  Alabama  Ethics  Commission.  The  Commission  is  charged  with  investigating, 
conducting  hearings,  and  issuing  opinions  on  complaints  regarding  the  activities  of 
state  and  local  employees.  During  his  tenure  as  a  member  of  the  Commission,  Mr. 
Buttram  consistently  displayed  a  fair  and  open-minded  approach  and  a  willingness 
to  engage  in  a  complete  and  thorough  review  of  the  facts.  Mr.  Buttram's  actions 
while  serving  on  the  Commission  demonstrate  his  hardworking  and  impartial  dis- 
position. 

In  1993,  Mr.  Buttram  was  appointed  as  Deputy  Attorney  General  of  the  State  of 
Alabama.  In  this  position,  Mr.  Buttram  has  handled  numerous  property  related 
matters  for  the  State  of  Alabama.  In  1995,  my  colleague.  Senator  Sessions,  then  the 
Attorney  General  for  the  State  of  Alabama,  reappointed  him  to  this  position. 

Mr.  Chairman,  again,  I  support  his  nomination  for  the  District  Court  for  the 
Northern  District  of  Alabama. 

Senator  Thurmond.  Thank  you  very  much. 
Senator  Byrd. 

STATEMENT  OF  HON.  ROBERT  C.  BYRD,  A  U.S.  SENATOR  FROM 
THE  STATE  OF  WEST  VIRGINIA 

Senator  Byrd.  Thank  you,  Mr.  Chairman.  It  is  a  great  privilege 
to  be  here  today,  especially  to  sit  before  the  distinguished  senior 
Senator  from  South  Carolina,  who  is  chairman  of  the  Armed  Serv- 
ices Committee  on  which  I  serve,  and  also  to  be  here  when  his  jun- 
ior colleague.  Senator  Rollings,  who  sits  on  my  Appropriations 
Committee,  has  testified  on  behalf  of  a  nominee. 

I  was  a  member  of  this  committee  about  30  years  ago  during  the 
time  when — during  a  similar  time  to  this  when  there  was  great 
turbulence  in  the  country.  And  Jim  Eastland  was  chairman  of  the 
committee,  and  I  was  just  a  lowly  member,  the  bottom  of  the  totem 
pole.  But  we  did  things  a  little  differently  in  those  days.  Instead 
of  having  the  5-minute  rule,  I  can  remember  interrogating  L.  Pat- 
rick Gray  for  almost  2  hours  in  one  sitting  of  the  committee.  We 
had  to  wait  a  while  before  we  were  recognized,  but  once  we  were 
recognized,  we  weren't  limited  to  5  minutes. 

I  went  off  this  committee — I  first  went  on  it  when  I  received  my 
law  degree.  I  went  to  school  10  years  to  receive  that  law  degree, 
graduated  from  American  University,  In  those  days,  as  I  recall, 
members  of  the  Judiciary  Committee  had  to  possess  a  law  degree 
or  had  to  have  served  as  an  attorney  or  some  such,  but  I  didn't 
have  any  of  that.  But  after  I  received  my  law  degree,  then  I  got 
off  the  Armed  Services,  which  I  was  on  that  time,  and  came  to  this 
committee. 

I  went  on  that  committee  when  L3Tidon  Johnson,  who  sat  on  the 
Armed  Services  Committee,  was  nominated  for  Vice  President,  and 
I  took  his  place,  if  I  may  say  so. 


8 

I  thank  you,  Mr.  Chairman.  You  are  fair  and  you  are  a  man  of 
great  experience  and  highly  respected  in  the  Senate,  and  by  all 
who  know  you.  I  am  proud  to  appear  here  today  with  my  colleague. 
Senator  Rockefeller.  I  was  on  the  Rules  Committee,  I  believe  it 
was,  when  we  interrogated  Nelson  Rockefeller  to  be  Vice  President 
of  the  United  States.  And  I  have  had  the  great  privilege  of  serving 
with  Jay  for  these  several  years.  He  was  Governor  of  our  State, 
West  Virginia,  and  I  knew  him  well  and  favorably  then. 

We  are  here  today  to  present  an  outstanding  candidate  for  a  Fed- 
eral appellate  judgeship,  Mr.  Chairman,  and  we  are  going  to  do  so 
proudly.  I  am  very  honored  to  have  been  given  the  opportunity  to 
be  here  this  afternoon  to  introduce,  along  with  my  colleague — not 
everybody  can  say  they  have  served  as  a  colleague  with  a  Rocke- 
feller. Not  everybody  can  say  they  bought  a  Rockefeller  hamburger. 
I  have  done  that.  Jay  came  up  the  hard  way,  too,  you  know. 
[Laughter.] 

But  it  is  our  privilege  to  introduce  to  the  committee  an  outstand- 
ing individual  whom  you  will  consider,  the  nomination  of  Robert  B. 
King  to  fill  the  vacancy  on  the  U.S.  Court  of  Appeals  for  the  Fourth 
Circuit  that  is  being  created  by  the  move  to  senior  status  of  Judge 
Kenneth  K.  Hall,  whom  I  urged  President  Nixon  to  appoint,  as  a 
Democrat.  Judge  K.K.  Hall  was  a  Democrat,  but  President  Nixon 
was  a  President  who  knew  how  to  play  politics,  and  he  listened  to 
my  importunities  that  he  make  this  nomination,  and  he  did  so.  And 
Judge  Hall  has  made  an  outstanding  record.  And  I  would  like  to 
publicly  thank  Judge  Hall  for  his  many  years  of  dedicated  service 
to  the  Nation.  His  move  to  senior  status  is  well  deserved,  and  I 
wish  him  all  the  best  as  he  continues  his  work,  albeit  in  a  some- 
what limited  capacity,  in  the  fourth  circuit. 

Mr.  Chairman,  I  have  known  Robert  King  for  many  years.  I  can 
say  without  hesitation  that  I  believe  him  to  be  uncommonly  quali- 
fied to  serve  on  the  bench  of  the  U.S.  court  of  appeals.  He  is  a  life- 
long West  Virginia  resident.  He  has  spent  more  than  30  years  of 
his  professional  life  in  service  to  his  State  and  to  the  Nation. 

After  graduating  from  West  Virginia  University,  Bob  King 
worked  as  a  teacher,  as  you  did,  Mr.  Chairman,  at  one  time  in  your 
life,  as  a  teacher.  He  was  a  teacher  in  the  Greenbrier  County 
schools  of  West  Virginia  before  returning  to  law  school.  I  doubt 
that  he  studied  Blackstone  like  you  did,  Mr.  Chairman,  but  he  is 
equally  a  good  lawyer. 

Once  armed  with  his  doctor  of  jurisprudence,  Robert  King  went 
on  to  practice  law  in  Lewisburg,  WV.  That  is  where  the  great 
Greenbrier  is  located.  Anyone  in  this  room  or  within  the  sound  of 
my  voice  who  has  never  been  to  the  Greenbrier,  you  ought  to  go, 
make  it  a  point  to  go,  because  there  is  nothing  like  it. 

In  1970,  Mr.  King  was  appointed  to  serve  as  an  assistant  U.S. 
attorney  for  the  Southern  District  of  West  Virginia  during  the 
Nixon  and  Ford  administrations.  And  in  1977,  Robert  King  was  ap- 
pointed by  President  Carter  to  the  position  of  U.S.  attorney,  an  ap- 
pointment which  has  extended  into  the  Reagan  administration.  So 
he  has  been  over  these  grounds  before.  He  is  not  a  new  boy  on  the 
street. 

Of  course,  his  appointment  to  the  position  of  U.S.  attorney  means 
that  he  has,  as  I  say,  already  appeared  before  this  committee. 


For  the  past  17  years,  this  nominee  has  had  what  by  any  account 
would  be  considered  a  distinguished  legal  career,  as  a  founding 
partner  in  the  Charleston  firm  of  King,  Allen  and  Guthrie.  And  it 
is  this  long  service  that  equips  Robert  King  with  the  requisite  edu- 
cation and  experience  to  serve  as  a  Federal  judge,  but  beyond  this 
valuable  experience,  he  also  possesses  the  kind  of  deep-seated  in- 
tegrity, strong  work  ethic,  and  love  of  public  service  that  appeal  to 
you,  Mr.  Chairman,  and  that  combines  to  make  an  outstanding 
member  of  the  judiciary. 

In  short,  Robert  King  is  a  fine  and  deserving  addition  to  the  ap- 
pellate court,  and  I  trust  that  this  committee  will  reach  the  same 
conclusion. 

I  would  like  to  join  with  my  colleague  at  this  moment  in  noting 
the  presence  this  afternoon  of  the  devoted,  talented,  and  gracious 
wife  of  the  nominee,  Julia  King,  and  several  other  members  of  his 
family,  children,  in-laws,  and  one  grandchild,  I  believe.  So  if  they 
would  hold  up  their  hands  so  that  the  chairman  might  see  them? 
Thank  you. 

Julia  is  like  my  wife.  She  has  supported  her  husband  and  man- 
aged for  some  33  years  all  the  while  undertaking  the  difficult  but 
rewarding  task  of  raising  four  children. 

I  thank  the  committee  for  allowing  me  to  appear  this  afternoon, 
and  I  thank  my  colleague  for  joining  with  me,  for  serving  with  me, 
for  working  for  the  people  of  West  Virginia. 

I  close  by  saying  that  Alexander  the  Great,  when  he  listened  to 
a  prosecutor  bring  an  indictment,  he,  Alexander  the  Great,  would 
put  one  hand  over  one  ear  and  keep  that  ear  closed.  He  kept  that 
ear  closed  for  the  defendant.  He  was  fair  and  just.  He  wanted  to 
listen  to  both  sides  and  give  both  sides  equally  an  opportunity  to 
have  his  attention.  I  believe  that  Bob  King  will  be  the  same,  Mr. 
Chairman,  be  like  Alexander.  I  am  sure  he  will  do  us  all  a  great 
honor  and  serve  with  great  distinction. 

Now,  Mr.  Chairman,  I  close  my  remarks.  I  know  that  my  col- 
league will  also  want  to  present  his  words  on  behalf  of  Mr.  King. 

Senator  Thurmond.  Senator  Byrd,  I  have  been  in  the  Senate  for 
44  years.  I  believe  I  am  the  senior  Senator.  I  had  the  pleasure  of 
serving  with  many  people,  and  I  consider  you  one  of  the  ablest, 
most  distinguished  Senators  with  whom  I  have  served,  and  I  feel 
honored  to  have  you  here  today. 

Senator  Rockefeller. 

Senator  Bryd,  If  my  colleague  will  allow  me  just  to  make  a  com- 
ment, I  thank  you,  Mr.  Chairman,  for  that  comment,  which  I  will 
not  forget.  I  am  grateful  to  the  benign  Creator  of  us  all  that  I  have 
had  the  opportunity  to  serve  in  the  U.S.  Senate — not  as  long  as  you 
have,  but  for  near  40  years,  and  on  the  Hill  in  Congress  for  46 
years.  And  I  treasure  what  you  have  said,  but  I  treasure  even  more 
than  that  the  privilege  of  having  served  with  you  through  many  of 
the  great  events  of  this  Republic. 

Thank  you,  Mr.  Chairman. 

Senator  Thurmond.  Senator  Rockefeller. 


10 

STATEMENT  OF  HON.  JOHN  D.  ROCKEFELLER  IV,  A  U.S. 
SENATOR  FROM  THE  STATE  OF  WEST  VIRGINLV 

Senator  Rockefeller.  Thank  you,  Mr.  Chairman.  I  frankly  am 
very  moved  by  the  comments  that  the  chairman  has  made  about 
my  senior  colleague,  Senator  Byrd,  comments  that  would  be  heart- 
ily agreed  with  in  the  State  that  he  and  I  represent  by  its  people 
and  by  all  who  have  come  to  know  Senator  Byrd  via  contact  with 
him  directly,  through  his  office,  or  listening  to  him  or  watching  him 
on  television  and  in  other  ways,  which  leads  me  what  I  want  to  say 
about  Robert  Bruce  King,  Bob  King. 

There  is,  I  think,  abroad  in  the  land  these  days  a  sense  that  the 
body  politic  is  somehow  suffering  because  people  are  more  inter- 
ested in  making  money  or  in  turning  to  pursuits  which  are  less  ar- 
duous, which  require  less  of  the  obsessive  commitment,  the  quest 
for  truth  and  policy  and  judgment  that  is  the  goal  of  all  of  us,  but 
not  achieved  by  every  single  one. 

I  have  a  very  different  view,  and  that  is  that  the  times  may  be 
turbulent  in  our  country,  and  it  may  be  less  fashionable  now  for 
young  people  to  be  thinking  of  the  ages  of  11  or  12  or  13  or  15  or 
16  that  they  hope  someday  to  have  a  career  in  public  service  or  in 
politics. 

I  don't,  however,  believe  that  the  quality  has  done  anything  but 
improve.  I  think  people  today  who  select  public  service  do  so  with 
a  very  clear  eye  and  with  the  full  knowledge  that  they  have  many 
other  opportunities  that  are  before  them,  particularly  if  they  have 
the  talent  to  be,  for  example,  appointed  to  be  a  Federal  judge,  the 
chance  to  be  approved  to  be  a  Federal  judge,  approved  by  the  Presi- 
dent, approved  by  the  Congress.  It  is  a  very  high  and  lofty  possibil- 
ity. 

Bob  King  is  one  of  those  people  that  makes  me  proud  to  be  in 
public  service  because  I  think  we  are  in  public  service  for  the  same 
reason,  and  I  think  Senator  Byrd  would  agree  with  what  I  am 
about  to  say. 

Public  service  is  not  simply  being  elected  to  an  office.  Public  serv- 
ice can  be  teaching.  Public  service  can  be  being  a  public  health 
nurse,  being  a  social  worker,  and  being,  in  fact,  a  Federal  judge. 
Being  a  Federal  judge  is  a  very  hard  thing  to  become. 

This  is  a  committee  in  which  I  have  sat  a  number  of  times,  and 
I  have  always  been  awed  by  the  quality  of  the  people  who  come  be- 
fore this  committee  seeking  approval  to  be  in  the  position  of  Fed- 
eral judge. 

I  think  that  my  colleague.  Senator  B3rrd,  would  agree  with  me 
when  I  would  say  that  if  one  is  to  succeed  in  public  service  or  in 
private  life  or  in  any  worthy  purpose,  one  has  to  have  a  moral  com- 
pass and  that  there  are  a  number  of  decisions  in  our  lives  that  are 
relatively  easy,  but  there  are  many  which  are  not.  And  when  you 
come  to  those  points  that  you  have  to  make  very  tough  decisions, 
you  have  to  reach  down  and  look  at  something  called  your  moral 
compass.  And  it  is  felt,  it  is  developed,  it  is  perceived,  it  is  God- 
given.  And  if  you  are  a  good  person,  you  trust  it.  And  if  you  are 
a  good  person,  it  guides  you  in  the  right  way. 

Bob  King  has  that  moral  compass,  and  if  I  had  to  say  one  thing 
about  him,  it  would  be  that. 


11 

In  West  Virginia,  it  is  interesting  that  people  often  talk  about 
the  work  ethic  of  our  people,  Mr.  Chairman.  That  is  not  to  boast 
about  West  Virginia,  to  say  West  Virginians  are  better  or  harder- 
working  than  any  other  people,  but  it  somehow  works  out  that  peo- 
ple talk  a  lot  about  our  work  ethic.  And  maybe  that  is  because  we 
are  a  State  that  has  had  to  fight  hard  all  of  our  life  to  succeed  even 
a  little  bit.  Over  the  last  4  decades,  our  State,  West  Virginia,  has 
lost  population.  And  every  time  there  was  a  census,  we  would  lose 
another  Congressman  and  we  would  lose  more  population.  Now  we 
are  gaining.  We  are  only  gaining  a  thousand  people  a  year,  but  we 
are  just  as  proud  of  that  as  the  State  of  Nevada  would  be  for  gain- 
ing a  thousand  people  every  5  minutes. 

But  Bob  King  simply  works  hard.  He  is  incredibly  fair.  He  is 
humble,  with  really  very  little  to  be  humble  about.  He  is  that  kind 
of  quintessential  family  person  who  is  idealized,  but  then  you  real- 
ize that  those  folks  do  exist  and  those  families  do  exist  and  they 
have  that  kind  of  closeness  and  that  kind  of  bond. 

I  am  not  a  lawyer,  Mr.  Chairman,  and  I  can't  make  pronounce- 
ments on  legal  opinions  and  would  not  attempt  to  do  so.  But  I 
know  through  a  very  close  association  with  Bob  King  over  many 
years  that  he  is  one  of  my  proud  moments  in  a  relatively  short 
span  of  time  in  the  U.S.  Senate,  only  13  years.  I  have  been  proud 
to  serve  with  Senator  Byrd  during  each  and  every  hour  of  those  13 
years,  but  never  prouder  than  to  sit  before  you,  the  most  senior  dis- 
tinguished member  of  the  U.S.  Senate,  and  present  my  endorse- 
ment without  qualification,  with  strong  personal  feelings  and 
strong  professionals  feelings,  insofar  as  I  am  not  a  lawyer,  but  a 
person  with  a  pretty  good  judge  of  people,  to  present  to  you  Bob 
King.  It  is  one  of  the  honors  of  my  lifetime,  sir,  and  I  am  proud 
to  do  that. 

Senator  Thurmond.  Senator  Rockefeller,  we  are  glad  to  have  you 
with  us.  You  come  from  one  of  the  greatest  families  in  America.  It 
is  an  honor  to  have  you  here. 

Senator  Rockefeller.  Thank  you,  sir. 

Senator  Thurmond.  Senator  Sessions. 

STATEMENT  OF  HON.  JEFF  SESSIONS,  A  U.S.  SENATOR  FROM 
THE  STATE  OF  ALABAMA 

Senator  Sessions.  Mr.  Chairman  and  members  of  the  committee, 
I  am  proud  to  introduce  today  Judge  Inge  Johnson  and  Mr.  Dean 
Buttram.  These  two  fine  individuals  have  been  nominated  by  the 
President  for  the  U.S.  district  court  judge  for  the  Northern  District 
of  Alabama. 

Judge  Johnson  graduated  in  1969  from  the  University  of  Copen- 
hagen School  of  Law  in  her  native  Denmark.  After  moving  to  Ala- 
bama, she  graduated  from  the  University  of  Alabama  School  of 
Law  in  1973,  where  the  two  of  us  were  classmates. 

In  1973,  she  was  named  the  Outstanding  Editorial  Senior  of  the 
Alabama  Law  Review.  From  1973  to  1979,  she  practiced  law  with 
her  husband  under  the  family  firm  of  Johnson  and  Johnson.  She 
had  a  very  diverse  practice  in  Colbert  County,  Alabama,  including 
real  estate,  domestic  relations,  and  criminal  defense  law. 

In  1978,  she  was  elected  circuit  judge,  and  she  has  served  in  that 
position  continuously  ever  since.  The  circuit  court  is  the  highest 


12 

trial  court  in  the  State  of  Alabama.  So  I  am  proud  to  amiounce 
that  20  years  ago  this  week,  Inge  Johnson  became  the  first  woman 
elected  circuit  court  judge  in  Alabama.  She  has  had  an  outstanding 
reputation  as  a  State  judge.  She  is  widely  praised  by  members 
from  every  sector  of  the  State  bar.  She  will  make  a  fine  addition 
to  the  Federal  judiciary,  and  I  will  state  I  talked  to  prosecutors,  po- 
lice officers,  and  lawyers  in  the  commim^ity.  They  are  very  com- 
plimentary about  her,  her  abilities  and  her  work  ethic. 

Mr.  Buttram  received  his  undergraduate  degree  and  master's  of 
business  administration  from  Jacksonville  State  University  in  Ala- 
bama, and  in  1978  received  his  law  degree  from  Cumberland  Law 
School  of  Samford  University. 

After  graduating  from  law  school.  Dean  has  maintained  an  ex- 
tremely diverse  and  successful  law  practice.  He  is  the  quintessen- 
tial main  street  lawyer.  His  practice  included  domestic  relations, 
criminal  defense,  personal  injury  on  both  sides.  Social  Security, 
real  estate,  and  municipal  law.  Very  few  judicial  nominees  have  his 
breadth  of  experience,  knowledge  of  his  fellow  man,  and  level  of  in- 
volvement within  the  community. 

As  attorney  general  of  Alabama,  I  had  the  pleasure  to  observe 
Dean  Buttram  when  he  served  on  the  Alabama  Ethics  Commission. 
He  was  chairman  of  the  Ethics  Commission  for  the  State  of  Ala- 
bama from  1995  through  1996.  He  served  honorably  and  capably 
in  this  most  important  position.  The  integrity  and  common  sense 
that  served  Dean  Buttram  so  well  on  the  Ethics  Commission  will 
be  a  great  asset  to  him  as  a  Federal  district  judge. 

I  met  personally  with  both  these  nominees.  They  have  assured 
me  that  they  will  be  good  case  managers,  and  I  have  every  reason 
to  believe  they  will.  They  will  move  cases  efficiently,  grant  judg- 
ments promptly  for  those  who  are  entitled  to  it.  They  have  further 
committed  to  conducting  an  efficient  and  fair  courtroom  that  will 
create  a  positive  atmosphere  for  justice,  as  well  as  for  the  lawyers 
and  for  the  parties  involved.  They  have  also  expressed  to  me  a 
healthy  philosophy  concerning  the  role  of  courts,  the  separation  of 
powers  among  the  three  branches,  and  the  respect  for  the  Constitu- 
tion that  we  have,  as  it  is  written. 

So  I  am  confident  that  both  these  nominees  will  conduct  fair 
trials,  for  criminal  defendants,  recognizing  that  victims  have  rights, 
too. 

Mr.  Chairman,  these  are  outstanding  nominees,  and  we  are  de- 
lighted to  have  them  here  today.  If  you  don't  mind,  I  will  join  you 
there  as  we  continue  with  the  hearing. 

Senator  THURMOND.  Senator,  we  are  pleased  to  have  you  here, 
and  as  a  member  of  the  Judiciary  Committee,  you  have  proved  to 
be  a  very  able,  fine  man,  and  it  is  an  honor  to  work  with  you. 

Without  objection,  I  will  place  in  the  record  a  statement  by  Sen- 
ator Patrick  Leahy,  who  could  not  be  here  today. 

[The  prepared  statement  of  Senator  Leahy  follows:] 

Prepared  Statement  of  Senator  Patrick  Leahy 

This  is  the  tenth  judicial  nominations  confirmation  hearing  this  year.  I  want  to 
congratulate  the  Chairman  and  the  Committee  for  reaching  double  digits  this  year 
and  exceeding  last  year's  total  of  only  nine  hearings  and  the  paltry  six  that  were 
held  in  1996.  Of  course,  the  Committee  is  nowhere  close  to  even  half  the  number 


13 

of  judicial  confirmation  hearings  held  in  1994,  when  the  Committee  held  25  judicial 
hearings  on  its  way  to  confirming  lOljudicial  nominees. 

I  also  want  to  commend  all  of  the  Senators  who  are  participating  here  today  and 
those  who  are  sending  statements  in  support  of  these  fine  nominees.  I  look  forward 
to  prompt  consideration  and  favorable  action  on  all  of  the  nominees  assembled  at 
today's  hearing  as  well  as  the  six  outstanding  nominees  who  participated  in  the  last 
hearing  on  July  30  but  who  have  yet  to  be  considered  and  reported  by  the  Commit- 
tee. 

The  Chief  Justice  of  the  United  States  Supreme  Court  last  year  called  the  number 
of  judicial  vacancies  "the  most  immediate  problem  we  face  in  the  federal  judiciary." 
The  Senate  continues  to  tolerate  74  vacancies  in  the  federal  courts  with  another 
eight  on  the  horizon — almost  one  in  10  judgeships  remains  unfilled.  The  Senate  has 
not  even  kept  up  with  normal  attrition  over  the  past  two  years,  let  alone  taken  the 
type  of  concerted  action  needed  to  end  the  judicial  vacancies  crisis. 

The  nimierous,  longstanding  vacancies  in  many  coiirts  are  harming  the  federal 
administration  of  justice.  The  Chief  Judge  of  the  Second  Circuit  has  had  to  extend 
the  certification  of  the  judicial  emergency  in  my  home  Circuit  while  a  quahfied 
nominee.  Judge  Sonia  Sotomayor,  has  remained  pending  for  six  months  on  the  Sen- 
ate calendar  without  explanation. 

Only  39  judicial  nominees  have  been  confirmed  by  the  Senate  all  year.  There  are 
currently  11  qualified  nominees  on  the  Senate  calendar.  All  have  been  reported  fa- 
vorably by  the  Judiciary  Committee.  Some  were  reported  months  ago.  Unfortu- 
nately, the  Republican  leadership  in  the  Senate  has  not  chosen  to  consider  even  a 
single  judicial  nomination  yet  this  month.  I  hope  that  the  Republican  leadership  will 
reverse  its  course  and  that  the  Senate  will  proceed  to  consider  and  confirm  those 
nominees  without  further  delay. 

Earlier  this  year,  I  attempted  to  draw  the  attention  of  the  Senate  and  the  pubUc 
to  the  judicial  vacancies  problem  by  contrasting  the  Senate's  lack  of  production  with 
the  home  run  pace  of  Mark  McGwire.  Last  night  Mark  McGwire  thrilled  baseball 
fans  by  hitting  his  62nd  of  the  year  and  setting  a  record  for  most  home  runs  hit 
in  a  season.  By  contrast,  the  only  record  the  Senate  seems  intent  on  breaking  this 
year  is  the  average  length  of  time  required  between  nomination  and  before  con- 
firmation as  a  federal  judge. 

In  1994  and  1995,  judicial  nominees  took  on  average  86  or  87  days  from  nomina- 
tion to  confirmation.  In  1996,  that  number  rose  to  a  record  183  days  on  average. 
Last  year,  the  average  number  of  days  from  nomination  to  confirmation  rose  dra- 
matically yet  again.  From  initial  nomination  to  confirmation,  the  average  time  it 
took  for  Senate  action  on  the  36  judges  confirmed  in  1997  broke  the  200-day  barrier 
for  the  first  time  in  our  history  and  reached  212  days.  Unfortunately,  the  average 
is  still  rising  to  the  detriment  of  the  administration  of  justice.  The  average  time 
from  nomination  to  confirmation  for  the  39  judges  confirmed  so  far  this  year  is  259 
days. 

I  continue  to  urge  other  Senators  to  join  with  me  in  working  to  consider  and  vote 
on  judicial  nominations  without  such  delays.  I  note  that  two  of  the  nominees  partici- 
pating in  the  hearing  today  were  nominated  within  the  last  10  days.  With  that  t5T)e 
of  expeditious  treatment  for  others,  we  could  consider  many  more  of  the  qualified 
nominees  pending  for  so  long  before  this  Committee. 

Senator  Thurmond.  I  would  ask  all  the  nominees  to  come  for- 
ward and  have  seats  up  here — oh,  just  Judge  Traxler  and  Mr.  King 
at  this  time. 

I  will  now  administer  the  oath  to  Mr.  King  and  Judge  Traxler. 
Please  raise  your  right  hand.  Do  you  swear  that  the  testimony  you 
shall  give  in  this  hearing  shall  be  the  truth,  the  whole  truth,  and 
nothing  but  the  truth,  so  help  you  Gk)d? 

Judge  Traxler.  I  do. 

Mr.  King.  I  do. 

Senator  Thurmond.  If  you  have  opening  statements,  we  will 
start  with  Mr.  King.  We  would  be  glad  to  hear  from  you,  Mr.  King. 

TESTIMONY  OF  ROBERT  B.  KING,  OF  WEST  VIRGINIA,  TO  BE 
U.S.  CIRCUIT  JUDGE  FOR  THE  FOURTH  CIRCUIT 

Mr.  King.  Mr.  Chairman,  I  have  no  opening  statement.  I  want 
to  express  my  appreciation  to  the  committee  for  the  opportunity  to 


14 

be  here,  and  certainly  also  my  appreciation  to  Senator  Byrd  and 
Senator  Rockefeller  for  their  support  in  connection  with  this  nomi- 
nation and  for  their  kind  remarks. 

I  would  mention  that  I  have  with  me  today  my  fine  family:  my 
wife,  Julia,  as  well  as  my  four  children,  Emily  Schaefer  and  her 
husband,  Dixon  Schaefer,  and  their  little  daughter,  Baby  Jane;  my 
daughter,  Caroline  Grubbs,  and  my  son-in-law,  Rob  Grubbs,  along 
with  my  two  twin  sons,  Bruce  and  Bill  King,  and  my  sister,  Mary 
Ellen  Mazie  of  Ohio,  and  I  am  proud  also  to  have  my  niece,  Mr. 
Chairman,  Roberta  King,  who  is  a  law  student  at  Wake  Forest 
University.  She  is  here  today  and  particularly  representing  my 
brother,  who  passed  away  a  couple  of  years  ago,  who  was  an  attor- 
ney in  Greenbrier  County. 

Senator  THURMOND.  Would  you  like  for  all  of  your  friends  and 
members  of  your  family  who  are  here  raise  your  hands?  Thank  you. 

Mr.  King.  Thank  you,  Mr.  Chairman. 

Senator  Thurmond.  Judge  Traxler. 

TESTIMONY  OF  WILLIAM  B.  TRAXLER,  JR.,  OF  SOUTH  CARO- 
LINA, TO  BE  U.S.  CIRCUIT  JUDGE  FOR  THE  FOURTH  CIRCUIT 

Judge  Traxler.  Mr.  Chairman,  I  also  appreciate  the  opportunity 
to  be  here,  to  have  this  hearing,  and  I  appreciate  the  support  I 
have  received  from  a  lot  of  people.  I  am  here  by  myself,  and  I  am 
ready  to  proceed. 

Senator  THURMOND.  All  of  your  family  who  are  here  and  friends 
here  of  Judge  Traxler,  please  raise  your  hand.  Thank  you  very 
much. 

QUESTIONING  BY  SENATOR  THURMOND 

Senator  Thurmond.  Mr.  King,  I  understand  that  your  legal  prac- 
tice consists  of  a  considerable  amount  of  criminal  defense  work. 
Can  you  assure  us  that,  if  confirmed,  you  could  transfer  from  your 
current  advocacy  role  to  being  an  objective  judge  £ind  weigh  the 
rights  of  defendants,  the  government,  and  victims? 

Mr.  King.  I  certainly  can  provide  that  assurance,  and  I  do  pro- 
vide that  assurance,  Mr.  Chairman. 

Senator  Thurmond.  Judge  Traxler,  if  you  are  confirmed,  what  do 
you  see  as  the  greatest  difficulty  you  will  have  in  transferring  from 
the  district  court  to  the  court  of  appeals? 

Judge  Traxler.  Senator,  as  a  district  court  judge,  I  enjoy  the 
rough  and  tumble  of  trial  court,  and  I  enjoy  the  daily  contact  that 
we  have  with  litigants,  with  lawyers,  prisoners  that  I  work  with. 
And  I  think  that  going  from  a  trial  court  with  active  involvement 
with  people  every  day  to  a  circuit  court,  hopefully,  where  there  will 
be  more  reading  and  writing,  is  going  to  be  a  difficult  transition  for 
me,  but  one  I  believe  that  I  can  make  the  adjustment  for. 

Senator  Thurmond.  Mr.  King  and  Judge  Traxler,  what  role  do 
you  believe  judges  have  in  developing  public  policy  through  case 
law  when  the  legislature  repeatedly  fails  to  address  important  mat- 
ters? 

Mr.  King.  Mr.  Chairman,  I  do  not  see  a  role  for  the  judiciary  in 
the  development  of  public  policy  in  that  manner. 

Judge  Traxler.  In  my  opinion,  Mr.  Chairman,  the  courts  have 
no  role. 


15 

Senator  Thurmond.  Do  either  of  you  have  any  personal  objec- 
tions to  the  death  penalty  that  would  cause  you  to  be  reluctant  to 
impose  or  oppose  a  death  sentence? 

Mr.  King.  Mr.  Chairman,  I  do  not. 

Judge  Traxler.  I  have  no  opposition  to  the  death  penalty,  Sen- 
ator. I  have  sought  it  as  a  prosecutor.  I  have  imposed  it  as  a  judge. 

Senator  Thurmond.  Do  either  of  you  have  any  objections  to  man- 
datory minimum  criminal  sentences  that  would  cause  you  to  be  re- 
luctant to  impose  or  oppose  such  a  sentence? 

Mr.  King.  I  do  not,  Mr.  Chairman. 

Judge  Traxler.  Mr.  Chairman,  I  recognize  the  right  of  Congress 
to  establish  mandatory  minimums,  and  I  recognize  the  laudable 
purposes  that  they  serve,  and  I  impose  them  and  uphold  them 
without  hesitation. 

Senator  Thurmond.  As  both  of  you  know,  the  sentencing  of 
criminal  defendants  in  Federal  court  is  conducted  under  the  Fed- 
eral Sentencing  Guidelines.  Some  argue  that  the  guidelines  do  not 
provide  enough  flexibility  for  the  sentencing  judge.  What  is  your 
view  of  the  Federal  Sentencing  Guidelines  and  their  application? 

Mr.  King.  Mr.  Chairman,  I  served  as  a  Federal  prosecutor  in  the 
1970's  and  into  the  1980's  for  almost  9  years,  both  as  an  assistant 
U.S.  attorney  and  as  the  U.S.  attorney.  We  had  in  our  district  in 
West  Virginia — unfortunately,  at  that  time,  we  had  judges  who 
were  stricter  than  others,  and  we  had  situations  where  defendants 
with  similar  offenses  received  disparate  treatment  as  a  result  of 
the  roll  of  the  dice  or  the  case  assignment  in  many  situations. 

I  think  that  is  the  kind  of  situation  that  gave  rise  to  the  need 
for  the  sentencing  guidelines,  and  I  understand  that  and  I  support 
that. 

Judge  Traxler.  Senator,  I  am  a  strong  supporter  of  the  sentenc- 
ing guidelines.  I  likewise  came  from  a  system  where  there  were  no 
sentencing  guidelines.  There  were  no  limits  on  a  judge's  discretion 
in  imposing  sentences.  And  too  many  times  I  believe  sentences 
were  imposed  that  depended  on  what  judge  you  got,  what  county 
you  happened  to  be  arrested  in  or  brought  to  court  in,  perhaps  even 
what  day  of  the  week  you  were  sentenced.  And  I  was  glad  to  come 
to  a  system  in  the  Federal  system  where  they  had  sentencing 
guidelines  so  that  I  could  ensure  that  not  only  my  sentences  but 
those  of  my  fellow  judges  would  treat  similar  defendants  commit- 
ting similar  crimes  in  a  similar  fashion. 

Senator  Thurmond.  Senator  Sessions,  do  you  have  any  ques- 
tions? 

Senator  SESSIONS.  Senator  Durbin  may  be  prepared  next,  and  I 
am 

Senator  DURBIN.  Thank  you  very  much. 

Senator  Thurmond.  I  will  call  on  you  in  just  a  minute. 

I  called  on  you  now. 

QUESTIONING  BY  SENATOR  SESSIONS 

Senator  SESSIONS.  All  right.  Very  good. 

Mr.  King,  you  and — Judge  Traxler — will  be  taking  on  a  tough  job 
in  the  fourth  circuit.  I  believe,  from  the  testimony  we  had  with 
Judge  Harvey  Wilkerson,  Senator  Thurmond,  that  the  fourth  is  the 
busiest  circuit;  if  not  the  busiest  the  second  busiest  circuit  in  Amer- 


16 

ica.  And  they  take  great  pride  in  the  quality  and  volume  of  work 
they  turn  out:  I  would  ask  you  for  your  commitments.  Do  you  rec- 
ognize that  this  is  more  than  a  retirement  job,  it  is  a  very  tough 
job,  and  are  you  prepared  to  give  it  your  best  professional  effort? 

Mr.  King.  Senator  Sessions,  I  recognize  that  it  is  a  very  substan- 
tial challenge.  I  look  forward  to  it,  and  I  will  give  it  my  every  ef- 
fort. 

Judge  Traxler.  Senator,  I  look  forward  to  the  challenge.  I  enjoy 
hard  work.  I  work  a  fall  five  days  every  week.  I  take  work  home 
with  me  at  night  and  the  weekend.  I  am  looking  forward  to  it. 

Senator  SESSIONS.  Well,  you  were  a  State  prosecutor,  Mr.  Trax- 
ler, and  then  you  became  a  Federal  judge  in  a  sentencing  guide- 
lines system,  and  you  made  some  comments  to  Senator  Thurmond 
that  you  like  that  change.  Would  you  share  a  little  more  insight  on 
your  feeling  about  that? 

Judge  Traxler.  Yes,  sir.  I  think  that,  first  of  all,  I  want  my  sen- 
tences to  be  consistent.  For  the  sentences  I  give  defendants,  I 
would  think  that  my  sentences  and  the  sentences  of  every  judge 
should  be  roughly  consistent  with  those  of  other  judges,  so  that 
when  a  criminal  defendant  is  sentenced,  it  doesn't  depend — ^you 
know,  what  his  sentence  is  doesn't  depend  on  what  judge  he  hap- 
pened to  get  or  what  judge  happened  to  be  holding  court.  And  I 
think  that  the  sentencing  guidelines  afford  me  that  opportunity 
and  permit  a  situation  where  similarly  situated  defendants  that 
commit  similar  crimes  are  treated  similarly,  regardless  of  where 
they  are  sentenced  and  by  whom  they  are  sentenced. 

Senator  Sessions.  Well,  I  think  you  are  right,  and  Senator  Thur- 
mond, as  you  well  know,  was  the  champion  of  the  sentencing  guide- 
lines and  honesty  in  sentencing,  and  Judge  Wilkins,  I  believe,  from 
South  Carolina  was  the  first  sentencing  commissioner  and  head  of 
that  commission;  I  think  it  has  done  a  good  job,  too.  I  was  there. 
I  saw  the  change  in  Federal  court,  and  it  is  not  healthy  when  two 
defendants  come  before  two  different  judges  and  one  gets  15  years 
and  one  gets  probation.  Something  is  not  fair  there,  and  I  know 
some  people  disagree  with  the  guidelines.  Judge  King,  you  will 
have  them  come  and  say  it  is  just  unfair,  the  application  of  this 
guideline  is  just  unfair.  But  you  ask,  by  what  standard?  At  least 
there  is  some  objective  standards  on  the  guidelines,  and  leaving  it 
without  any  standards,  which  is  basically  what  we  had  before,  I 
think  is  the  greater  evil. 

With  regard  to  the  question  that  Senator  Thurmond  asked  about 
the  failure  of  the  legislature  to  act,  I  have  observed  in  Alabama 
and  other  places  people  say,  well,  the  Federal  courts  had  to  act,  the 
legislature  wouldn't.  And  I  think  what  Senator  Thurmond  sug- 
gested was  that  the  decision  not  to  act  by  a  legislature  is  a  decision 
also. 

Would  you  comment  on  that  tension  or  that  problem  of  courts 
that  sometimes  think  they  have  to  act  when  the  legislature  didn't 
do  something  they  thought  ought  to  be  done? 

Mr.  King.  Senator  Sessions,  I  take  a  very  traditional  view  of  the 
separation  of  powers  and  particularly  the  powers  of  the  judiciary. 
I  recognize  the  limited  role  of  the  judiciary,  and  I  recognize  the  def- 
erence that  should  be  given  to  the  other  branches  of  government. 


17 

And  I  would  not  be — and  I  do  not  espouse  any  form  of  judicial  ac- 
tivism. 

Senator  Sessions.  Well,  I  appreciate  that  because  a  decision  by 
the  legislature  not  to  pass  a  law  is  a  decision  as  well  as  it  is  to 
pass  one. 

You  have  also  represented  a  number  of  plaintiffs  in  personal  in- 
jury cases,  and  I  have  done  that  and  represented  defendants  as 
well.  There  is  nothing  wrong  with  that.  But  let  me  ask  you,  do  you 
believe  it  is  appropriate  for  a  trial  judge  to  reduce  a  verdict  if  that 
verdict  is  found  to  be  excessive? 

Mr.  King.  In  the  exceptional  circumstances  where  it  may  be  ex- 
cessive, there  are  those  circumstances.  I  have  never  had  experience 
with  it.  I  have  been  involved  in  the  representation  of  plaintiffs  in 
personal  injury  cases.  I  have  represented  a  lot  of  defendants  in  per- 
sonal injury  cases. 

Senator  Sessions.  I  am  sure  you  didn't  think  any  of  those  ver- 
dicts were  excessive  that  you  obtained.  But  sitting  on  the  other 
side  of  the  bench,  are  you  prepared  to  evaluate  that  fairly,  forget- 
ting your  prior  involvement  as  a  plaintiff  attorney? 

Mr.  King.  Oh,  absolutely. 

Senator  Sessions.  And  be  prepared  to  reduce  a  verdict  that  you 
think  is  excessive? 

Mr.  King.  I  certainly  will  do  what  is  appropriate.  Senator  Ses- 
sions, absolutely. 

Senator  Sessions.  Have  you  expressed  any  opinions  in  any  fo- 
rums in  which  you  have  suggested  it  is  improper  or  that  judges 
ought  not  to  exercise  powers  to  reduce  verdicts? 

Mr.  King.  No,  I  have  not. 

Senator  Sessions.  Well,  I  think  the  Supreme  Court  case  in  BMW 
involving  the  State  of  Alabama  indicates  that  there  is  a  due  proc- 
ess argument,  there  has  to  be  some  articulatable  basis  between  the 
verdict  obtained  and  the  actual  wrong  to  the  victim.  And  I  think 
that  is  going  to  call  on  judges  to  be  scrutinized  in  ways  that  maybe 
haven't  done  so  before. 

Do  you  have  any  comments  about  that.  Judge  Traxler? 

Judge  Traxler.  Senator,  I  view  a  verdict  from  a  jury  as  an  ex- 
pression of  the  will  of  the  people,  and  I  am  extremely  reluctant  to 
interfere  with  a  jury's  verdict.  But  there  have  been  occasions  where 
I  have  felt  under  the  law  that  the  verdict  was  excessive  and  have 
reduced  verdicts.  It  has  probably  been  two  or  three  times  in  13 
years. 

Senator  Sessions.  Well,  I  agree  that  the  verdict  is  an  expression 
of  that  jury,  but  also  some  standards  need  to  be  applied,  some  con- 
nection, and  the  Supreme  Court,  as  a  matter  of  due  process,  has 
held  that  there  needs  to  be  a  connection  between  the  amount  of 
damages  sustained  and  the  amount  of  damages  awarded,  unless 
you  get  into  a  criminal  case,  in  which  there  is  no  limit  on  any  pen- 
alty that  can  be  imposed. 

Well,  I  thank  you  very  much  for  being  here.  You  are  undertaking 
a  very  important  position,  the  court  of  appeals,  one  step  from  the 
U.S.  Supreme  Court.  You  will  be  setting  law  for  a  number  of  States 
and  will  be  involved  with  a  large  number  of  very  important  cases. 
We  hope  that  you  will  be  successful  in  this  process,  and  you  have 
received  good  support  from  your  Senators,  and  we  appreciate  that. 


18 

Thank  you,  Senator  Thurmond. 
Senator  THURMOND.  Thank  you. 
Senator  Durbin. 

QUESTIONING  BY  SENATOR  DURBIN 

Senator  Durbin.  Thank  you,  Mr.  Chairman. 

Mr.  King,  you  have  had  a  very  active  practice  but  for  the  years 
when  you  served  as  a  prosecutor,  and  I  was  curious.  I  have  never 
asked  anyone  seeking  this  position  before  this  question,  but  I  want- 
ed to  ask  it  of  you,  and  perhaps  you  know  the  answer  and  maybe 
you  do  not.  What  are  the  standards  that  are  used  in  terms  of  con- 
flicts of  cases  that  might  come  before  you?  Are  there  standards  that 
are  clearly  articulated  as  to  the  types  of  cases  where  you  would  be 
expected  to  recuse  yourself? 

Mr.  King.  Well,  there  are — the  rules  of — the  code  of  judicial  re- 
sponsibility— the  Code  of  Judicial  Ethics,  I  believe  is  its  formal 
name — had  standards  for  recusal,  and  there  are  also  statutory 
standards  for  Federal  judges,  section  455  of  title  28.  I  have  not 
been  a  judge  before.  I  will  assure  you  that  I  will  act  appropriately 
with  respect  to  any  issues  of  those  kinds. 

Senator  Durbin.  I  don't  want  to  suggest  that  you  would  not.  This 
is  an  inquiry.  I  am  going  to  ask  in  one  particular  case,  and  perhaps 
you  would  have  to  check  and  determine  whether  or  not  it  would  be 
appropriate  for  you  to  consider  such  litigation.  But  I  noticed  in 
your  background  that  you  have  represented  an  American  tobacco 
company  in  a  case  involving  whether  or  not  the  attorney  general 
of  your  State  had  jurisdiction  to  bring  a  lawsuit  against — I  guess 
on  behalf  of  the  people  of  West  Virginia  against  that  tobacco  com- 
pany, a  common  law  action. 

Can  you  tell  me,  since  we  are  now  involved  in  some  42  different 
States  with  actions  against  tobacco  companies,  would  you  then  con- 
sider it  appropriate  for  yourself  to  be  recused  from  cases  involving 
tobacco  companies  if  you  were,  in  fact,  confirmed? 

Mr.  Kjng.  Senator  Durbin,  I  represented  Philip  Morris  in  that 
particular  case,  the  Medicaid  case  pending  in  West  Virginia,  which 
is  now  pending  in  the  Supreme  Court  of  Appeals  of  West  Virginia, 
and  I  have  represented  Philip  Morris  in  some  other  litigation  also 
in  West  Virginia,  the  tobacco-type  litigation. 

I  believe  my — my  view  is  at  this  point  that  I  should  not  sit  with 
respect  to  any  tobacco  litigation  that  might  come  before  the  Fourth 
Circuit  Court  of  Appeals.  I  would  feel  uncomfortable  doing  so. 

Senator  DuRBlN.  Well,  I  thank  you  for  that  answer.  Please  un- 
derstand that  I  am  not  raising  that  on  your  account  personally  be- 
cause I  believed  otherwise.  I  was  curious.  I  have  never  asked  that 
question  of  a  practicing  attorney,  and  I  am  sure  this  would  present 
itself  in  many  different  guises.  But  this  is  an  issue  that,  as  you  can 
imagine,  we  have  focused  on  a  lot  on  Capitol  Hill,  and  it  is  likely 
that  it  will  continue  to  percolate  through  the  courts  at  all  different 
levels  from  time  to  time. 

Judge  Traxler,  you  are  moving  up,  if  this  is  a  successful  effort, 
from  the  district  court  to  the  circuit  court.  And  could  you  tell  me 
why  you  would  seek  that  change  of  venue? 

Judge  Traxler.  Well,  the  job  I  have  now  and  the  job  I  seek  com- 
bine two  interests,  two  great  interests  in  my  life.  One  is  the  law, 


19 

which  I  thoroughly  enjoy  and  love,  and  public  service,  which  I  thor- 
oughly enjoy  and  love.  And  this,  moving  into  this  other  position,  if 
you  permit  me  to  do  so,  would  just  allow  me  to  continue  that  work 
and  those  pursuits  in  a  greater  capacity. 

Senator  DURBIN.  I  would  like  to  ask  a  follow-up  question  to  Sen- 
ators Thurmond  and  Sessions  on  sentencing  guidelines.  As  a  pros- 
ecutor and  as  a  former — or  as  a  judge  and  prosecutor,  I  would  like 
to  ask  you,  have  you  had  cases  where  you  felt  the  sentencing  guide- 
lines were  unfair  in  light  of  the  circumstances,  where,  in  fact,  if 
you  had  looked  at  the  individual  defendant  you  would  say  the 
range  of  sentencing  guidelines  given  to  us  by  the  Federal  Grovem- 
ment,  the  Congress  in  this  case,  really  don't  take  into  consideration 
some  factors  which  they  should,  and  perhaps  are  too  harsh  in 
terms  of  the  options  offered  to  the  prosecutor  and  to  the  judge? 
Have  either  of  you  run  into  those  circumstances? 

Mr.  King.  Senator  Durbin,  from  my  experience,  I  have  not,  but 
when  I  was  the  prosecutor,  we  didn't  have  the  sentencing  guide- 
lines. I  was  a  prosecutor — I  was  a  U.S.  attorney  in  the  Carter  ad- 
ministration and  an  assistant  U.S.  attorney  in  the  Nixon  adminis- 
tration in  the  early  1970's. 

Since  the  sentencing  guidelines  came  into  effect  in  1987,  my  ex- 
perience has  been  on  the  other  side  of  the  fence,  and  it  has  been 
quite  limited.  But  I  have  not  had  experience  where  I  thought  the 
guidelines  were  too  harsh,  no. 

Senator  DURBIN.  Judge  Traxler. 

Judge  Traxler.  I  can't  recall  any  situations  that  I  have  had  in 
sentencing  criminal  defendants  where  I  felt  like  the  sentence  I  was 
giving  was  way  out  of  line  with  what  I  might  otherwise  have  im- 
posed without  the  guidelines. 

Senator  Durbin.  Thank  you  for  your  testimony.  Thanks  for  being 
here  today. 

Thank  you,  Mr.  Chairman. 

Senator  Sessions.  I  would  like  to  ask  one  more  question. 

Senator  Thurmond.  Senator  Sessions. 

Senator  SESSIONS.  Judge  Traxler,  as  regards  habeas  reform,  pris- 
oner and  litigation  reform,  have  you  been  able  in  your  experience 
to  notice  any  change,  and  how  would  you  evaluate  the  results  of 
habeas  reform? 

Judge  Traxler.  One  of  my  most  beneficial  provisions  that  I  am 
looking  forward  to  obtaining  the  benefit  from  is  the  statute  of  limi- 
tations on  the  filing  of  habeas  petitions,  because  it  is  extremely  dif- 
ficult for  everyone  when  petitions  are  filed  where  the  last  State  ac- 
tion was  years  and  years  and  years  ago,  and  you  have  to  go  back 
and  try  to  reconstruct  the  record.  So  all  of  my  experiences  with  it 
have  been  positive. 

Senator  Sessions.  Thank  you  very  much. 

Senator  Thurmond.  Well,  that  completes  the  hearing  on  you, 
gentlemen.  I  wish  you  well,  and  I  feel  certain  that  the  Senate  will 
confirm  you.  And  you  are  now  dismissed. 

Mr.  King.  Thank  you,  Mr.  Chairman. 

Judge  Traxler.  Thank  you. 

Senator  Thurmond.  Now,  will  the  district  nominees  come 
around,  please?  Have  seats — oh,  just  a  minute.  You  will  take  the 
oath. 


20 

Raise  your  right  hand.  Do  you  swear  that  the  testimony  you 
shall  give  in  this  hearing  shall  be  the  truth,  the  whole  truth,  and 
nothing  but  the  truth,  so  help  you  God? 

Judge  BuTTRAM.  I  do. 

Judge  Johnson.  I  do. 

Judge  Whelan.  I  do. 

Senator  Thurmond.  Have  seats. 

Now,  since  two  of  you  are  from  Alabama,  which  State  voted  for 
me  for  President  years  ago — I  value  the  people  of  Alabama  very 
highly — I  am  going  to  turn  this  over  to  Senator  Sessions  to  conduct 
this  hearing. 

Senator  SESSIONS  [presiding].  Thank  you.  Senator  Thurmond. 

You  know,  I  mentioned  a  while  ago  that  Senator  Thurmond  was 
responsible  for  the  truth  in  sentencing  and  Federal  guidelines  leg- 
islation. There  is  no  doubt  in  my  mind  that  in  my  lifetime  that  is 
the  most  historic  change  in  criminal  law  where  a  judge  has  a  lim- 
ited range  based  on  the  severity  of  the  offense,  and  the  sentences 
imposed  without  parole,  and  Senator  Thurmond  had  been  a  real 
champion  of  criminal  justice  reform,  and  we  are  honored  to  be  with 
you  on  the  panel  and  serve  on  this  committee  with  you. 

Senator  THURMOND.  Thank  you  very  much. 

Senator  SESSIONS.  Let's  see.  Mr.  Buttram,  you  have  some  family 
members  with  you.  Would  you  like  to  introduce  those  at  this  time? 

TESTIMONY  OF  H.  DEAN  BUTTRAM,  JR.,  OF  ALABAMA,  TO  BE 
U.S.  DISTRICT  JUDGE  FOR  THE  NORTHERN  DISTRICT  OF 
ALABAMA 

Judge  Buttram.  Yes,  Senator,  I  would  like  to  say  that  I  appre- 
ciate very  much  the  comments  from  you  today  as  well  as  Senator 
Shelby  of  Alabama.  I  am  honored  to  be  before  this  body.  It  is  a  very 
humbling  experience. 

I  have  with  me  my  wife,  Fran  Hawkins  Buttram,  seated  here, 
and  my  son  would  have  been  here  but  he  is  an  investigator  with 
the  Cherokee  County  Sheriffs  Department  and  has  a  pretty  heavy 
caseload,  and  he  is  making  a  little  money,  Senator,  and  that  helps 
me.  So  he  is  working  today. 

Senator  Sessions.  I  understand. 

Judge  Johnson,  do  you  have  some  friends  with  you? 

TESTIMONY  OF  INGE  PRYTZ  JOHNSON,  OF  ALABAMA,  TO  BE 
U.S.  DISTRICT  JUDGE  FOR  THE  NORTHERN  DISTRICT  OF 
ALABAMA 

Judge  Johnson.  Yes,  sir,  I  sure  do.  I,  too,  am  honored  to  be  here 
today,  and  I  agree  with  Mr.  Buttram  that  it  is  a  humbling  experi- 
ence to  be  here.  I  appreciate  your  kind  introduction  and  Senator 
Shelby's  introduction. 

My  husband  would  have  been  here  today  but  could  not  come,  and 
my  children  couldn't  either.  They  are  msiking  money  just  like 
Dean's  children  are.  But  I  have  a  good  friend  that  I  have  had  for 
a  long  tinie  who  goes  all  the  way  from  Denmark  with  me,  and  her 
name  is  Birgit  Anderson. 

Senator  Sessions.  Well,  we  are  delighted  to  have  you  with  us. 

Mr.  Whelan. 


21 

TESTIMONY  OF  THOMAS  J.  WHELAN,  OF  CALIFORNIA,  TO  BE 
U.S.  DISTRICT  JUDGE  FOR  THE  SOUTHERN  DISTRICT  OF 
CALIFORNIA 

Judge  Whelan.  Thank  you,  Senator  Sessions — excuse  me,  Chair- 
man. 

First  of  all,  it  is  a  great  pleasure  for  me  to  be  here,  and  I  want 
to  thank  you  for  holding  these  hearings  and  for  allowing  me  to  be 
part  of  them.  I  do  have  my  family  here  that  I  would  like  to  intro- 
duce briefly. 

Starting  with  my  youngest,  my  daughter,  Chrissie;  my  daughter, 
Michele;  my  son,  Jim;  and  my  daughter,  Mary;  and  my  bride  of  35 
years,  Cathy;  and  her  brother.  Col.  Robert  Lindseth. 

My  mother  couldn't  be  here.  She  is  recovering  from  surgery.  And 
my  father  has  passed  away,  but  I  am  sure  he  is  here  with  me. 

Thank  you.  Senator. 

QUESTIONING  BY  SENATOR  SESSIONS 

Senator  SESSIONS.  Very  good.  Well,  thank  you  very  much.  We  are 
delighted  to  have  each  of  you.  I  know  this  is  an  important  occasion 
and  well  it  should  be.  This  is  the  opportunity,  I  suppose,  that  peo- 
ple have,  the  one  opportunity  they  have  through  their  elected  rep- 
resentatives to  pass  on  the  unelected,  lifetime-appointed  Federal 
judge.  Sometimes  that  is  said  with  less  than  favor:  lifetime-ap- 
pointed, unelected  Federal  judges.  But  I  am  of  the  opinion  that 
good  judges  in  Federal  court  really  do  great  jobs,  and  I  have  seen 
some  of  the  finest  judges  in  America,  I  believe,  and  had  the  honor 
to  practice  before  those  district  judges.  And  I  am  a  great  believer 
in  the  integrity  and  the  effectiveness  of  the  Federal  court  system. 

We  have  a  number  of  concerns  that  have  been  raised  as  we  have 
gone  through  the  years  that  deal  with  the  separation  of  powers  and 
judicial  activism,  what  is  the  role  of  the  courts  in  interpreting  law 
and  the  Constitution. 

Mr.  Whelan,  one  of  the  things  that  I  thought  I  would  ask  you 
about,  because  it  has  come  up  in  California,  is  the  issue  of  popular 
referendums  through  the  electoral  process,  votes  of  the  people.  Do 
you  have  any  feeling  that  those  referendum  ought  to  be  given  less 
respect  than  laws  passed  by  the  legislature  if  they  are  challenged 
in  your  court? 

Judge  Whelan.  Absolutely  not.  Senator.  I  think  that  they  are  en- 
titled to  the  same  weight  or  the  same  importance  as  if  it  had  been 
passed  by  the  legislature.  It  is  an  expression  of  the  will  of  the  peo- 
ple directly  by  the  people  rather  than  the  will  of  the  people  through 
their  legislature.  And  I  would  treat  them  the  same  as  far  as  pre- 
suming they  are  constitutional,  because  they  are  initiatives,  that 
they  are  constitutional.  I  would  do  my  best,  if  presented  with  an 
issue  in  that  area,  to  see  if  there  was  any  reading  of  the  initiative 
at  all  that  would  uphold  the  initiative,  and  I  would  do  my  best  to 
uphold  the  initiative,  as  I  would  any  legislative  action. 

Senator  Sessions.  Well,  I  think  that  is  the  right  approach.  It 
simply  undermines  and  erodes  popular  respect  for  courts  if  we 
cavalierly  and,  without  real  serious  basis,  eliminate  what  millions 
of  Califomians  may  have  voted  for  at  the  polls  with  the  stroke  of 
a  pen.  And  that  can  come  back  to  haunt  the  overall  process  of  law, 
not  just  that  particular  case.  And  we  must,  I  think,  work  stead- 


22 

fastly  to  maintain  the  confidence  of  the  American  people  that  our 
judges  are  enforcing  the  law  as  written  and  not  creating  it. 

Judge  Johnson,  let  me  ask  you,  you  have  been  in  a  system,  there 
in  the  State  of  Alabama,  in  which  you  basically  have  freedom  to 
sentence  as  you  feel  is  appropriate  within  certain  maximum 
ranges.  And  in  the  course  of  that,  I  am  confident  you  have  devel- 
oped some  of  your  own  personal  standards  about  what  crimes  and 
how  much  each  offense  should  be  punished. 

I  would  suggest  that  you  will  soon  be  in  a  system  that  gives  a 
very  narrow  range,  as  we  have  discussed  before.  Maybe  the  penalty 
would  be  from  24  to  30  months.  If  you  thought  the  defendant  was 
likable,  you  might  give  him  24  months.  If  you  were  angry  at  him, 
the  most  you  could  give  is  30  months.  Of  course,  they  would  serve 
all  of  that. 

Do  you  have  any  personal  philosophical  objection  to  carrying  out 
those  guidelines  as  written  even  if  they  might  conflict  by  being 
more  gentle  or  more  harsh  than  what  you  have  been  doing  in  the 
past? 

Judge  Johnson.  Mr.  Chairman,  I  do  not.  As  a  matter  of  fact,  I 
have  had  some  experience  with  the  same  type  sentencing  as  the 
sentencing  guidelines  through  the  Habitual  Offender  Act  in  the 
State  of  Alabama,  which  is  very  clear  and  limits  the  discretion  of 
the  sentencing  judge  in  the  State  court  system  as  well  as  certain 
sentencing  provisions,  mandatory  sentencing  provisions  for  drug  of- 
fenders. So  I  have  had  some  experience  with  that  type  legislation, 
and  I  do  not  foresee  any  problem,  and  I  do  not  have  any  personal 
feeling  against  the  sentencing  guidelines,  and  I  plan  to  adhere  to 
them  if  I  should  be  successful  in  obtaining  this  position. 

Senator  Sessions.  Thank  you.  I  think  for  the  most  part  our 
courts  have  been  true  to  those  guidelines,  and  occasionally  you 
have  a  situation  in  which  I  think  attempt  has  been  made  to  under- 
mine them. 

Mr.  Buttram,  you  have  managed  a  law  practice  and  appeared  in 
a  lot  of  different  courts  before  a  lot  of  judges  as  a  full-time  practic- 
ing attorney.  Would  you  share  with  us  some  of  your  thoughts  and 
goals  in  terms  of  how  you  want  to  manage  your  caseload  and  the 
kind  of  qualities  you  look  for  in  a  good  judge? 

Judge  Buttram.  Well,  Senator,  I  think  that  a  good  judge  man- 
ages cases  from  the  bottom  up  rather  than  the  top  down.  I  think 
if  you  get  to  know  the  case,  the  nuts  and  bolts,  you  meet  with  the 
attorneys,  you  know  all  the  details  of  that  case,  that  you  can  move 
that  case  along  quicker.  The  sa3dng  that  justice  delayed  is  justice 
denied,  I  believe  that.  I  believe  you  need  to  rule  on  motions  in  a 
timely  fashion.  I  don't  think  you  need  to  let  matters  such  as  sum- 
mary judgment  lie  dormant.  I  think  you  need  to  move  the  cases 
through  the  system  as  quickly  as  possible,  and  I  think  that  the 
more  you  know  about  that  case,  rather  than  just  the  generalities, 
but  the  details,  allows  you  to  work  with  the  attorneys  to  move  it 
through. 

I  think  there  are  avenues  to  a  Federal  trial  court  judge  that  are 
available,  such  as  mediation  and  trying  to  settle  cases  and  have  the 
attorneys  use  all  available  means  to  settle  cases  when  it  is  appro- 
priate, without  den5dng  any  due  process  to  the  litigants  and  not 
being,  you  know,  over-exerting  yourself. 


23 

I  think  that  a  judge  has  to  have  unquestioned  integrity,  a  judi- 
cial temperament,  even-handedness,  and  I  think  that  a  judge 
should  never  forget  the  days  when  he  practiced  law  and  he  should 
treat  attorneys  with  respect.  He  should  take  care  of  the  feelings  of 
jurors  who  come  into — ^you  know,  they  are — we  intrude  upon  them 
many  times.  And  so  I  think  that  the  judge  has  to  be  mindful  of  the 
litigants,  of  the  jurors,  of  the  court  personnel,  and  of  the  attorneys. 

Senator  SESSIONS.  Well  said. 

Judge  Johnson,  you  have  been  on  the  bench  a  while,  have  univer- 
sally favorable  reviews.  Do  you  have  any  thoughts  to  add  to  that? 

Judge  Johnson.  Well,  I  am  married  to  a  lawyer,  and  he  won't 
let  me  forget  what  it  is  like  to  be  a  lawyer.  But  I  do,  in  all  serious- 
ness, Mr.  Chairman,  I  think  being  courteous  to  the  participants  in 
the  litigation,  whether  they  are  jurors,  parties,  attorneys,  is  a 
judge's  foremost  duty,  at  the  same  time  as  being  fair.  You  can  be 
fair  and  you  can  be  courteous  at  the  same  time.  I  think  it  is  a 
judge's  duty  to  be  prompt,  not  to  make  litigants  wait  for  him,  or 
lawyers  or  jurors.  I  think  it  is  a  judge's  duty  to  be  prepared,  to  read 
everything  that  is  brought  before  him  or  her.  And  I  think  it  is  very 
important  that  a  judge  is  a  good  listener.  That  is  what  we  are 
about. 

Senator  Sessions.  Well,  said. 

Mr.  Whelan,  do  you  have  any  comments  on  what  you  look  for  in 
a  judge  and  what  you  would  tell  us  you  would  commit  to  do  if  you 
are  confirmed? 

Judge  Whelan.  Well,  Senator,  as  a  lawyer,  I  practiced  as  a  trial 
lawyer  for  approximately  21  years,  so  I  have  appeared  in  front  of 
judges  of  all  different  temperaments. 

Since  I  have  been  a  judge,  my  simple  rule  is  to  treat  the  lawyers 
in  front  of  me  as  I  would  want  to  be  treated,  and  that  seems  to 
work  very  well.  If  you  are  prepared,  if  you  treat  them  courteously 
and  you  give  them  a  chance  to  make  their  record,  they  usually  will 
accept  your  decision  even  though,  obviously,  one  of  them  is  going 
to  lose.  So  I  think  that  is  the  key,  just  treat  them  like  you  would 
want  to  be  treated.  Senator,  and  you  get  along  fine. 

Senator  Sessions.  Good  advice. 

With  regard  to  the  death  penalty,  do  any  one  of  you  have  any 
deeply  held  convictions  that  would  cause  you  to  be  extraordinarily 
reluctant  or  would  cause  you  to  decline  to  carry  out  a  death  penalty 
case  where  the  death  penalty  was  legally  called  for?  Mr.  Buttram. 

Judge  Buttram.  Senator,  I  absolutely  do  not  have  any  personal 
feelings  which  would  prohibit  me  from  carrying  out  the  death  pen- 
alty. As  you  know,  the  death  penalty  is  mentioned  in  the  Constitu- 
tion, several  places.  The  Supreme  Court  says  that — has  upheld  the 
death  penalty.  It  is  the  law  of  the  land,  and  I  don't  think  a  trial 
court  judge  needs  to  do  anything  except  apply  the  law. 

Senator  Sessions.  Well,  said. 

Judge  Johnson.  Mr.  Chairman,  I  have  been  a  circuit  court  judge 
for  20  years  and  have  presided  over  many  capital  cases  and  have 
imposed  the  death  penalty  four  times,  and  I  do  not  have  any  per- 
sonal convictions  that  would  prevent  me  from  doing  that  in  the  fu- 
ture. And  I  might  say  that  I  have  never  been  reversed  in  one. 


24 

Senator  Sessions.  Judge  Whelan,  would  you  share  with  us  what 
kind  of  judge  you  are,  and  what  position  you  hold,  and  what  your 
thoughts  are  on  the  death  penalty? 

Judge  Whelan.  Well,  I  will  start  with  my  thoughts  on  the  death 
penalty,  Mr.  Chairman.  As  a  prosecutor,  I  argued  for  it.  As  a  judge, 
I  have  imposed  it.  I  am  a  superior  court  judge  for  the  State  of  Cali- 
fornia. That  is  our  highest  trial  court.  I  currently  serve  as  presid- 
ing judge  of  our  court.  We  have  71  judges,  Mr.  Chairman. 

Senator  SESSIONS.  Very  good. 

Let  me  ask  you,  Mr.  Buttram,  we  have  had  a  number  of  in- 
stances in  this  country  in  which  judges  have  utilized  what  is  re- 
ferred to  in  the  law  as  special  masters,  that  name  having  become 
somewhat  unpopular.  They  call  them  monitors  and  other  such 
names,  but  essentially  they  provided  for  the  special  master  under 
certain  circumstances. 

Would  you  share  with  us  your  thoughts  about  the  seriousness  of 
and  the  legal  significance  of  a  master  being  appointed  to  supervise 
some  agency  of  government?  What  are  the  thoughts  you  might 
have  on  that? 

Judge  Buttram.  Mr.  Chairman,  of  course,  in  Alabama,  we  have 
had  our  share  of  special  masters.  The  prison  system,  the  mental 
health  facilities  in  our  State  have,  I  think  for  periods  of  as  much 
as  20  years,  been  under  the  supervision  of  a  special  master  ap- 
pointed by  the  Federal  district  court. 

I  think  that  is  an  extreme  remedy,  and  it  should  be  utilized  only 
with  caution.  And  I  would  be  very  cognizant  of  that  and  would  uti- 
lize it  only  in  extreme  situations. 

Senator  Sessions.  Judge  Johnson. 

Judge  Johnson.  I  agree  with  Mr.  Buttram,  and  I  have  never 
used  a  special  master  during  my  tenure  on  the  bench  already.  It 
seems  to  me  that  we  might  get  into  the  problem  about  separation 
of  powers  because  if  you  have  a  special  master,  the  judge  gets  into 
the  executive  branch  of  administering  areas  that  the  judge  should 
not  be  administering  because  it  is  left  by  our  Constitution  to  the 
executive  branch  to  do  that.  So  I  think  because  of  our  Constitution, 
it  is  a  thing  that  should  be  the  last  remedy. 

Senator  Sessions.  Well,  it  sort  of  embroils  you  in  the  executive 
branch  because  an  essential  role,  it  seems  to  me,  of  a  judge  is  to 
determine  whether  the  executive  branch's  actions  are  in  violation 
of  the  Constitution  and  to  so  hold,  and  perhaps  the  agency  contin- 
ues to  do  it,  but  I  am  not  sure  it  is  the  judiciary  branches  job  to 
monitor  and  oversee  the  agency  that  may  have  been  in  violation, 
and  I  think  sometimes  we  have  been  too  quick  to  find  things  in  vio- 
lation of  the  Constitution  that  were  not. 

Judge  Whelan,  do  you  have  any  thoughts  about  that?  Have  you 
had  occasion  to  appoint  monitors  or  masters  to  carry  out  decrees 
in  your  court? 

Judge  Whelan.  No,  Mr.  Chairman,  I  haven't.  I  agree  with  the 
comments  of  both  the  other  nominees.  I  think  it  would  be  a  very 
rare  situation  and  a  very  grave  situation  if  I  decided  to  appoint  a 
special  master.  It  is  something  I  would  have  real  hesitancy  to  do, 
probably  would  not  do. 

Senator  SESSIONS.  Well,  the  position  of  U.S.  district  judge  is  a 
great  position.  It  is  important  to  the  bar  members,  the  lawyers  who 


25 

go  to  work  every  day,  that  practice  before  you.  They  are  entitled 
to  predictabiUty,  I  think,  and  courtesy  and  some  certainty  about 
what  is  going  to  happen.  So  are  their  cUents. 

Mr.  Buttram,  you  mentioned  the  need  to  rule  on  things  like  sum- 
mary judgments  and  motions  to  dismiss.  Certain  judges  have  rep- 
utations for  letting  them  go  for  months,  even  years,  when  a  ruling 
could  have  allowed  a  client  or  a  party  to  be  out  of  the  case  alto- 
gether and  they  should  not  have  had  to  go  through  the  expense  of 
the  litigation. 

Let  me  ask  you  this:  Would  you  express  a  commitment  to  under- 
standing that  your  rulings  and  the  litigation  that  goes  on  in  your 
court  impacts  individuals  and  businesses  who  must  hire  attorneys 
and  pay  costs  of  this  litigation,  and  that  you  would  do  your  best 
to  promptly,  consistent  with  justice  and  a  complete  record,  make 
decisions  that  would  move  that  litigation  to  its  proper  conclusion? 

Judge  Buttram.  Mr.  Chairman,  I  am  under  oath,  and  I  gladly 
make  that  commitment. 

Senator  Sessions.  Good.  Judge  Johnson. 

Judge  Johnson.  Yes,  Mr.  Chairman,  I  will  make  that  commit- 
ment. And  I  think  it  goes  back  to  the  role  of  the  judge  and  what 
a  judge  should  be  like  when  I  mentioned  that  a  judge  should  be 
prepared.  One  of  the  most — or  the  best  ways  I  have  found  to  be 
able  to  rule  quickly  on  a  case  is  to  be  prepared  before  you  hear  the 
motion  so  that  you  know  what  the  lawyers  are  talking  about  when 
you  do  hear  the  motions,  such  as  summary  judgment,  and  you  can 
go  right  on  and  rule  based  on  that. 

Senator  SESSIONS.  Do  you  often  rule  from  the  bench? 

Judge  Johnson.  I  do  it  quite  often,  yes. 

Senator  Sessions.  I  think  that  is  good  when  you  are  confident 
about  it. 

Judge  Whelan. 

Judge  Whelan.  I  also  commit,  Mr.  Chairman.  I  have  never  had 
to  take  a  case — I  never  have  taken  a  case  under  submission.  I  rule 
from  the  bench  on  all  my  matters,  try  to  make  one  party  as  happy 
as  I  can  without  offending  the  other  one  too  much. 

Senator  Sessions.  Well,  I  think  that  is  a  good  philosophy,  and 
to  the  extent  to  which  you  can  rule  from  the  bench,  life  is  better 
for  a  lot  of  people,  including  you  and  your  law  clerks. 

Well,  let  me  again  thank  you  for  your  testimony.  I  have  been  im- 
pressed with  each  of  you.  I  believe  that  things  will  be  moving  along 
well  in  your  cases.  I  hope  that  there  will  be  a  chance  to  move  those 
to  the  full  Senate  before  this  session  is  over,  but  I  certainly  can't 
predict  that. 

The  record  will  remain  open  for  those  who  may  want  to  submit 
questions  or  submit  any  additional  information  concerning  these 
nominees. 

Again,  let  me  say  how  much  I  have  enjoyed  being  with  you  and 
express  my  congratulations  to  you  and  your  families  upon  this  im- 
portant day.  The  Federal  bench  is  an  august  responsibility.  I  know 
that  you  will  fulfill  it  with  dignity  and  integrity  and  professional- 
ism, and  that  is  what  we  expect  of  you,  and  the  taxpayers  I  think 
are  entitled  to  that.  I  am  confident,  based  on  what  I  know  about 
you,  that  you  will  meet  those  high  standards,  and  I  hope  that  this 
Congress  will  give  you  the  kind  of  laws  that  are  rational  and  rea- 


26 

sonable  and  allow  you  to  do  your  work  in  the  most  expeditious  and 
proper  manner. 

Thank  you  again  for  your  presence.  This  committee  meeting  is 
adjourned. 

[Whereupon,  at  3:21  p.m.,  the  committee  was  adjourned.] 


27 


SUBMISSIONS  FOR  THE  RECORD 


RESPONSE  OF  ROBERT  BRUCE  KING 

TO 

•QUESTIONNAIRE  FOR  JUDICIAL  NOMINEES' 

OF 

THE  COMMITTEE  ON  THE  JUDICIARY 

UNITED  STATES  SENATE 


I.   BIOGRAPHICAL  INFORMATION  (PUBLIC) 

1 .  Full  name  (include  any  former  names  used.) 
ROBERT  BRUCE  KING 

2.  Address:  List  current  place  of  residence  and  office  address(es). 

Residence:       Charleston,  West  Virginia 

Office:  Mailing:  Delivery: 

P.O.  Box  3394  1300  Bank  One  Center 

Charleston,  WV  25333-3394  707  Virginia  Street,  East 

^  Phone  -  (304)  345-7250  Charleston,  WV  25301 

^  Fax  -  (304)  345-5989 

3.  Date  and  place  of  birth. 

January  29,  1940  —  White  Sulphur  Springs,  Greenbrier  County,  West  Virginia. 


Marital  Status:  (include  maiden  name  of  wife,  or  husband's  name).  List  spouse's  occupation, 
employer's  name  and  business  address(es). 

Married  to  Julia  Kay  Doak  King,  formerly  Julia  Kay  Doak; 
April  16,  1965,  at  Parkersburg,  Wood  County,  West  Virginia. 

Occupation:     Homemaker  (formerly  college  English  teacher) 


28 


Response  of  Roben  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 

5.  Education:  List  each  college  and  law  school  you  have  attended,  including  dates  of  attendance, 

degrees  received,  and  dates  degrees  were  granted. 

West  Virginia  University, 
September  1957  -  June  1961 
Bachelor  of  Arts  -  June  5,  1961 

College  of  Law,  West  Virginia  University, 

September  1965  -  May  1968 

Doctor  of  Jurisprudence  -  May  12,  1968 


Employment  Record:  List  (by  year)  all  business  or  professional  corporations,  companies,  firms, 
or  other  enterprises,  partnerships,  institutions  and  organizations,  nonprofit  or  otherwise, 
including  firms,  with  which  you  were  connected  as  an  officer,  director,  partner,  proprietor,  or 
employee  since  graduation  from  college. 

a.  Summer  of  1961  —  While  awaiting  military  active  duty.  I  worked  as  a 
Caddie,  and  part-time  in  the  Bag  Room  at  the  Sam  Snead  Golf  Shop,  at  The 
Greenbrier  in  White  Sulphur  Springs,  West  Virginia; 

b.  September  18,  1961  -  September  17,  1964  -  Active  Duty,  United  States  Air 
Force: 

District  Office  3,  Office  of  Special  Investigations  (OSI) 

Rank:  First  Lieutenant  (Special  Agent,  OSI) 

Serial  No.:  A03 119393 

Honorable  Discharge:  September  17,  1964; 

c.  October  1964  -  June  1965  —  School  Teacher  (permanent  substitute). 
Greenbrier  County,  West  Virginia. 

I  taught  one-half  day  at  Renick  Junior  High  School  (English),  Renick,  West 
Virginia,  and  one-half  day  at  Frankford  High  School  (Problems  of  Democracy  and 
World  History),  Frankford,  West  Virginia; 

d.  Summer  (June-September)  of  1965  —  Assistant  Manager  of  Sam  Snead 
All-American  Golf  Course,  Sharpes,  Florida  (managed  by  my  brother,  William  E. 
King); 


29 


Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


e.  June  1966  -  May  1968  —  Research  Assistant,  State  and  Community 
Planning  Unit,  Office  of  Research  and  Development,  Center  for  Appalachian 
Studies  and  Development,  West  Virginia  University,  Morgantown,  West  Virginia. 

As  a  Research  Assistant,  I  worked  full-time  in  the  summer  months  and  part- 
time  during  the  school  year.  My  co-workers  included  Circuit  Judge  Fred  L.  Fox 
II,  Fairmont,  West  Virginia,  Supreme  Court  Justice  Larry  V.  Starcher,  Charleston, 
West  Virginia,  and  former  West  Virginia  Transportation  Secretary  and  Highway 
Commissioner  Fred  Vankirk,  Charleston,  West  Virginia. 

f.  June  1968  -  June  1969  —  Law  Clerk,  Honorable  John  A.  Field,  Jr.,  Chief 
United  States  District  Judge,  Charleston,  West  Virginia. 

g.  July  1969  -  April  1970  —  Law  Practice,  Associate,  Haynes  &  Ford, 
Lewisburg,  West  Virginia. 

h.  May  1970  -  December  1974  —  Assistant  United  States  Attorney,  Southern 
District  of  West  Virginia,  Charleston.  West  Virginia. 

i.  January  1975  -  July  1977,  March  -  October  1981  —  Law  Practice,  Associate 

(1975),  Partner  (1976,  1977  and  1981),  Spilman,  Thomas,  Battle  &  Klostermeyer, 
Charleston,  West  Virginia. 

j.  August  15,  1977  -  February  28,  1981  —  United  States  Attorney,  Southern 

District  of  West  Virginia,  Charleston,  West  Virginia  (Appointed  by  President 
Carter -July  14,  1977). 

k.  November  1981  -  present  —  Law  Practice,  Partner,  King  Allen  Guthrie  & 
McHugh  (predecessor  names  King,  Betts  &  Allen,  1981  -  1993,  King  Allen  & 
Arnold,  1994  -  1996,  and  King  Allen  &  Guthrie,  1997). 

Managing  Partner,  1981  -  1993.  1997  -  present; 

Financial  Manager,  1993  -  1996; 

Executive  Committee,  1982  -  present. 


30 


Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 

Although  not  specifically  responsive  to  this  inquiry,  the  following  is  set  forth  and 
provided  in  the  interests  of  disclosure: 

1.  1980  -  1983  —  Member  of  Session,  Village  Chapel  Presbyterian  Church, 

Charleston,  West  Virginia. 

m.  1997  -  present  —  Member  of  Visiting  Committee,  College  of  Law  of  West 
Virginia  University,  Morgantown,  West  Virginia. 

n.  The  Player's  Club  Limited  Partnership.  Charleston,  West  Virginia,  1986- 
1990  (tennis  facility).  Owned  one  of  forty  partnership  units,  and  served  on 
Management  Committee  during  1988-1989.   The  partnership  was  dissolved. 

o.  Co-Trustee,  The  Eddie  King  Children  Trust.  United  National  Bank, 
Charleston,  West  Virginia.  The  United  National  Bank  and  Mary  Ellen  Mazey 
(sister)  are  Co-Trustees.  This  Trust  is  for  the  educational  benefit  of  the  children 
of  my  deceased  brother  William  E  King. 

p.  Designated  as  Successor  Individual  Trustee  of  the  Kenneth  K.  Hall  Trust. 

at  the  United  National  Bank  (corporate  Trustee),  Charleston,  West  Virginia,  for  the 
benefit  of  the  disabled  son  of  Kenneth  K.  and  Geraldine  T   Hall. 

q .  Executor  of  the  Estate  of  Gladys  Hoylman  King  Gregory  (deceased  mother) , 
Greenbrier  County,  West  Virginia. 


Military  Service:  Have  you  had  any  military  service?  If  so,  give  particulars,  including  the  dates, 
branch  of  service,  rank  or  rate,  serial  number  and  type  of  discharge  received. 

1957  -  1959  —  West  Virginia  National  Guard,  Ronceverte,  West  Virginia. 
Enlisted  on  January  29,  1957 

Howitzer  Company,  2nd  Battalion,  150th  Armored  Calvary  Regiment 
Rank:  Pvt.   E-3,  cannoneer,  self-propelled  105  mm  howitzer 
Serial  No.:  NG24427504 

Honorable  Discharge  in  June  1959  when  entered  advanced  Air  Force  ROTC  at 
West  Virginia  University.  Placed  in  United  States  Army  Inactive  Reserve  until 
received  United  States  Air  Force  Commission  as  2nd  Lieutenant  on  June  5,  1961 


31 


Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 


1961  -  1964  —  United  States  Air  Force,  Active  Duty  Officer. 
Reported  for  active  duty:   September  18,  1961 

Primary  assignment:  District  Office  3,  Office  of  Special  Investigations 
Rank:  First  Lieutenant  (Special  Agent,  OSI) 
Serial  No.:  A03 119393 

Honorable  Discharge  from  active  duty:  September  17.  1964 
Honorable  Discharge  from  United  States  Air  Force  Reserve:  May  4.  1970 


Honors  and  Awards:     List  any  scholarships,  fellowships,  honorary  degrees,  and  honorary 
society  memberships  that  you  believe  would  be  of  interest  to  the  Committee. 

West  Virginia  University 
Order  of  the  Coif 

History  (Pi  Sigma  Alpha)  Honorary 
Political  Science  (Phi  Alpha  Theta)  Honorary 
Mountain  (Ranking  Honorary) 
Patrick  Duffy  Koontz  Scholarship 
West  Virginia  Law  Review 
Student  Bar  Association,  President  and  Treasurer; 

Special  Achievement  Award,  United  States  Department  of  Justice  -  1974; 

Steven    W.    Naifeh    and    Gregory    White    Smith,    The    Best    Lawyers    in    America 
(Woodward/White,  Inc.  1991)  (Listed  under  Criminal  Defense  from  1991  to  present); 

Commendation  from  FBI  Director  J.  Edgar  Hoover  (1971). 
Senate  Response  (Public)  Exhibit  1-A; 

Commendation  from  FBI  Director  L.  Patrick  Gray,  III  (1973). 
Senate  Response  (Public)  Exhibit  1-B; 

Commendation  from  FBI  Director  Clarence  M.  Kelley  (1973). 
Senate  Response  (Public)  Exhibit  1-C; 

Commendation  from  FBI  Director  William  H.  Webster  (1979). 
Senate  Response  (Public)  Exhibit  1-D; 


32 


Response  of  Robert  Bnice  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


Outstanding  Performance  as  an  Assistant  United  States  Attorney  (1973). 
Senate  Response  (Public)  Exhibit  1-E;  and 

Letter  of  Appreciation  of  Attorney  General  Benjamin  R.  Civiletti  (1981). 
Senate  Response  (Public)  Exhibit  IF: 


Bar  Associations:  List  all  bar  associations,  legal  or  judicial-related  committees  or  conferences 
of  which  you  are  or  have  been  a  member  and  give  the  titles  and  dates  of  any  offices  which  you 
have  held  in  such  groups. 

a.         Bar  Associations  and  Professional  Societies 

The  West  Virginia  State  Bar 

Member,  Board  of  Governors  —  1981  -  1984 
American  Bar  Association 
West  Virginia  Bar  Association 
Kanawha  County  Bar  Association 
Greenbrier  County  Bar  Association 
Fellow,  The  Fellows  of  the  American  Bar  Foundation 
Fellow,  The  American  College  of  Trial  Lawyers 
Advocate,  The  American  Board  of  Trial  Advocates 

President,  West  Virginia  Chapter  -  1986  -  1990 
Judicial  Conference  of  the  Fourth  Circuit  Court  of  Appeals  —  1972  -  present 
National  Association  of  Criminal  Defense  Lawyers  —  1997 
Student  Bar  Association,  West  Virginia  University 

President,  1967  -  1968 

Treasurer,  1966  -  1967 

h.         Committees  of  Bar  Associations.  Professional  Societies  and  Related  Positions 

Committee  on  Legal  Ethics,  The  West  Virginia  State  Bar  -  1984  -  1987, 

Vice  Chairman.  1987 
Counsel  to  the  Committee  on  Legal  Ethics,  The  West  Virginia  State  Bar  — 

1976  -  1977 
Standing  Committee  on  Judicial  Improvement,  The  West  Virginia  State  Bar  — 

1975  -  1977 
Judicial  Conference  Study  Committee,  Fourth  Circuit  Court  of  Appeals  — 

1982  -  1983 


33 


Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


Judicial  Conference  Program  Committee,  Fourth  Circuit  Court  ot  Appeals  — 

1983  -  1985 
Attorney  General's  Advisory  Committee  of  United  States  Attorneys  —  1979  -  1981 

Secretary  -  1980.  and  Vice-Chair  -  1981 
Merit  Selection  Committee  for  United  States  Magistrate  (S.D.  W.  Va.)  — 

1981  Chair 
Judicial  Investigation  Commission  of  West  Virginia  —  1990  -  1994 
Disciplinary  Systems  Review  Committee  of  West  Virginia  —  1992 
National  Association  of  Former  United  States  Attorneys  —  1981  -  present 

(Board  of  Directors  —  1982  -  1984) 
Visiting  Committee,  College  of  Law  of  West  Virginia  University  —  1997  -  present 


10.        Other  Memberships:    List  all  organizations  to  which  you  belong  that  are  active  m  lobbying 
before  public  bodies.   Please  list  all  other  organizations  to  which  you  belong. 

a.  Lobbying  Organizations:        None 

b.  Other  Organizations: 

Village  Chapel  Presbyterian  Church, 

Charleston,  West  Virginia  (1977  -  present) 

Berry  Hills  Country  Club. 

Charleston,  West  Virginia  (1975  -  77;  1982  -  present) 
(By-Laws  submitted  as  Senate  Response  (Public)  Exhibit  2.) 

United  States  Golf  Association 

West  Virginia  Golf  Association 

West  Virginia  University  Alumni  Association 

West  Virginia  Law  School  Association 


11-  Court  Admission:  List  all  courts  in  which  you  have  been  admitted  to  practice,  with  dates  of 
admission  and  lapses  if  any  such  memberships  lapsed.  Please  explain  the  reason  for  any  lapse 
of  membership.  Give  the  same  Information  for  administrative  bodies  which  require  special 
admission  to  practice. 

Supreme  Court  of  the  United  States.  1974 

United  States  Court  of  Appeals  for  the  Fourth  Circuit,  1970 

United  States  Claims  Court,  1985 

United  States  Tax  Court,  1991 


34 


Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


United  States  District  Court,  Southern  District  of  West  Virginia,  1968 
United  States  District  Court,  Northern  District  of  West  Virginia,  1972 
United  States  District  Court,  Eastern  District  of  Kentucicy,  1975 
Supreme  Court  of  Appeals  of  West  Virginia,  1968 


12.  Published  Writings:  List  the  titles,  publishers,  and  dates  of  books,  articles,  reports,  or  other 
published  matenal  you  have  wntten  or  edited.  Please  supply  one  copy  of  all  published 
material  not  readily  available  to  the  Committee.  Also,  please  supply  a  copy  of  all  speeches  by 
you  on  issues  involving  constitutional  law  or  legal  policy.  If  there  were  press  reports  about  the 
speech,  and  they  are  readily  available  to  you,  please  supply  them. 

As  a  general  response,  subject  to  the  matters  below,  I  have  not  published  books, 
articles  or  reports.  I  have,  over  the  years,  submitted  legal  memoranda  and  briefs  to 
various  courts  on  behalf  of  clients.  Subject  to  this  general  response,  the  followmg 
responds  more  specifically  to  this  inquiry: 

a.  Law  Review  Articles 

While  in  law  school,  I  published  two  law  review  articles  in  the  West 
Virginia  Law  Review  as  follows: 

(1)  Robert  Bruce  King.  Consiiiuiional  Law  -  Bodily  Intrusions  as 
Violations  of  Consiiiuiional  Rights,  69  W  Va  L  Rev  193  -  197 
(1967).   Senate  Response  (Public)  Exhibit  3:  and 

(2)  Robert  B.  King,  Torts  -  Extension  of  Definition  of  Invitee  to  One 
Entering  Private  Property  Without  Permission,  69  W.  Va.  L.  Rev. 
96  -  99  (1967).   Senate  Response  (Public)  Exhibit  4. 

b.  Seminar  Presentations 

(1)  A  Practitioner's  View  of  Federal  Appeals,  Appellate  Procedure  and 
Advocacy  Lecture  (1981).   Senate  Response  (Public)  Exhibit  5; 

(2)  "Current  Ethical  Issues  for  Prosecuting  Attorneys,  "  presented  to 
the  Annual  Meeting  of  the  West  Virginia  Prosecuting  Attorneys 
Association  (1989).  Senate  Response  (Public)  Exhibit  6; 


35 


Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nonunees 
United  States  Senate 
(Public) 
July  3,  1998 


(3)  The  Role  of  Corporate  Counsel  in  Government  Investigations 
(1990).   Senate  Response  (Public)  Exhibit  7; 

(4)  Direct  Examination  of  the  Expert  Witness  -  The  Use  of  Expert 
Witnesses  (1993).   Senate  Response  (Public)  Exhibit  8; 

(5)  Certain  Procedural  Issues  Often  Neglected  in  Litigating  a  Complex 
Civil  Case  in  West  Virginia  (1995).  Senate  Response  (Public) 
Exhibit  9;  and 

(6)  Proving  Loss  of  Homemaker  Services  Through  the  Use  of  Expert 
Witnesses  (January  1998).   Senate  Response  (Public)  Exhibit  10. 

c.  Research  Publications 

While  serving  as  a  Research  Assistant  at  Appalachian  Center  for  Studies  and 
Development  of  West  Virginia  University,  I  was  Co-Editor  of  two  publications: 

(1)  Carl  D.  Ekstrom,  Frederick  W.  Schaupp,  Robert  B.  King  and 
Thomas  Arnoldi,  Catalog  of  State  Services  and  State  Programs  for 
Community  Development.  Office  of  the  Governor,  West  Virginia 
University  Center  for  Appalachian  Studies  and  Development 
(January  1968).   Senate  Response  (Public)  Exhibit  11;  and 

(2)  Carl  D.  Ekstrom,  Martin  J.  Glasser  and  Robert  B.  King,  Catalqg  of 
State  Services  and  State  Programs  for  Individuals.  Office  of 
Research  and  Development,  Appalachian  Center  -  West  Virginia 
University  (Information  Series  3)  (October  1968).  Senate  Response 
(Public)  Exhibit  12. 

d.         Speeches  and  other  Media  Matters 

(1)  On  August  21 ,  198 1 ,  I  spoke  on  Lawyers  and  the  Press  to  the  West 
Virginia  Press  Association  at  its  meeting  in  Morgantown,  West 
Virginia.  Senate  Response  (Public)  Exhibit  13.  Several  news 
articles  followed.   Senate  Response  (Public)  Exhibit  14. 


36 


Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


(2)  While  serving  as  United  States  Attorney,  I  was  frequently  contacted 
by  the  media  concerning  the  business  of  that  office  Two  sessions 
with  the  Editorial  Board  of  the  Charleston  Daily  Mail  were 
published  as  follows: 

(a)  Charleston    Daily    Mail.    September    12,    1979,    Senate 
Response  (Public)  Exhibit  15;  and 

(b)  Charleston  Daily  Mail.  January  12,  1981,  Senate  Response 
(Public)  Exhibit  16. 

(3)  In  1981  -  1982,  as  counsel  to  the  re-election  Committee  of  Senator 
Robert  C.  Byrd.  I  submitted  a  Memorandum  to  West  Virginia 
broadcasters  on  behalf  of  Senator  Byrd's  campaign.  This 
Memorandum,  as  well  as  related  press  reports,  is  submitted  as 
Senate  Response  (Public)  Exhibit  17. 

Miscellaneous 

(1)  On  December  19,  1995,  I  eulogized  Judge  John  A.  Field,  Jr.  in 
services  at  Village  Chapel  Presbyterian  Church,  Charleston,  West 
Virginia.   Senate  Response  (Public)  Exhibit  18. 

(2)  On  September  14,  1995,  I  eulogized  Greenbrier  County,  West 
Virginia,  lawyer  William  Edgar  King  (my  brother)  in  services  at 
The  Old  Stone  Presbyterian  Church,  Lewisburg,  West  Virginia. 
Senate  Response  (Public)  Exhibit  19. 


13.        Health:     What  is  the  present  state  of  your  health?     List  the  date  of  your  last  physical 
examination. 

My  health  is  good. 

My  most  recent  physical  examination  was  on  April  21,  1998,  at  The  Greenbrier 
Clinic,  White  Sulphur  Springs.  West  Virginia. 


10 


37 


Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 

14.        ludicial  Office:    State  (chronologically)  any  judicial  offices  you  have  held,  whether  such 
position  was  elected  or  appointed,  and  a  description  of  the  jurisdiction  of  each  such  court. 

None. 


15.  Citations:  if  you  are  or  have  been  a  judge,  provide:  (1 )  citations  for  the  ten  most  significant 
opinions  you  have  written;  (2)  a  short  summary  of  and  citations  for  all  appellate  opinions  where 
your  decisions  were  reversed  or  where  your  judgment  was  affirmed  with  significant  criticism 
of  your  substantive  or  procedural  rulings;  and  (3)  citations  for  significant  opinions  on  federal 
or  state  constitutional  issues,  together  with  the  citation  to  appellate  court  rulings  on  such 
opinions.  If  any  of  the  opinions  listed  were  not  officially  reported,  please  provide  copies  of  the 
opinions. 


Not  Applicable. 


16.  Public  Office:  State  (chronologically)  any  public  offices  you  have  held,  other  than  judicial 
offices,  including  the  terms  of  sen/ice  and  whether  such  positions  were  elected  or  appointed. 
State  (chronologically)  any  unsuccessful  candidacies  for  elective  public  office. 

Law  Clerk 

United  States  District  Judge  John  A.  Field,  Jr 

Southern  District  of  West  Virginia 

June  1968  -  June  1969 

Assistant  United  States  Attorney 
Southern  District  of  West  Virginia 
May  1970  -  December  1974 

United  States  Attorney 

Southern  District  of  West  Virginia 

August  1977  -  February  1981 

Candidate  for  Delegate  to  Democratic  National  Convention 
1976,  1988  (unsuccessful) 


38 


Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


17.        Legal  Career: 


Describe  chronologically  your  law  practice  and  experience  after  graduation  from  law 
school  including: 

1 .  whether  you  served  as  clerk  to  a  judge,  and  if  so,  the  name  of  the  )udge,  the 
court,  and  the  dates  of  the  period  you  were  a  clerk; 

Following  graduation  from  law  school  in  May  1968,  I  served  as  Law  Clerk 
to  Judge  John  A.  Field,  Jr.  of  the  Southern  District  of  West  Virginia.  My  service 
as  Judge  Field's  Law  Clerk  began  on  June  10,  1968,  and  concluded  at  the  end  of 
June  1969. 

2.  whether  you  practiced  alone,  and  if  so,  the  addresses  and  dates; 
Not  Applicable. 

3.  the  dates,  names  and  addresses  of  law  firms  or  offices,  companies  or 
governmental  agencies  with  which  you  have  been  connected,  and  the  nature 
of  your  connection  with  each; 

NOVEMBER  1981  -  PRESENT. 

Private  Law  Practice 

Partner  -  King  Allen  Guthrie  &  McHugh 

1300  Bank  One  Center 

P.O.  Box  3394 

Charleston.  WV  25333-3394 

AUGUST  1977  -  FEBRUARY  1981. 

United  States  Attorney 

Southern  District  of  West  Virginia 

500  Quarrier  Street 

P.O.  Box  1713 

Charleston,  WV  25326-1713 

(Appointed  by  President  Carter  -  July  1977) 


12 


39 


Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 


JANUARY  1975  -JULY  1977,  MARCH  -  OCTOBER  1981 

Private  Law  Practice 

Partner  -  Spilman,  Thoinas,  Battle  &  Kiostertneyer 

P.O.  Box  273 

Charleston,  WV  25321-0273 

MAY  1970  -  DECEMBER  1974. 

Assistant  United  States  Attorney 

Southern  District  of  West  Virginia 

500  Quarrier  Street 

P.O.  Box  1713 

Charleston,  WV  25326-1713 

JULY  1969  -  APRIL  1970. 
Private  Law  Practice 
Associate  -  Haynes  &  Ford 
203  W.  Randolph  Street 
Lewisburg,  WV  24901 

1.  What  has  been  the  general  character  of  your  law  practice,  dividing  it  into 

periods  with  dates  if  its  character  has  changed  over  the  years? 

My  legal  career  has  primarily  involved  government  service  as  a  federal 
prosecutor  and  a  law  practice  as  a  West  Virginia  lawyer.  The  relevant  periods  of 
my  career  have  been  largely  defined  by  my  service  in  the  United  States  Attorneys' 
Office  for  southern  West  Virginia.  The  character  of  my  practice  has  changed 
somewhat  as  I  have  moved  into  and  out  of  government  service,  and  is  further 
described  as  follows: 

June  1968  -  June  1969  —  Federal  Court  Law  Clerk 

Upon  graduation  from  law  school  in  1968,  I  was  given  the  opportunity  of 
working  as  a  Law  Clerk  in  the  United  States  District  Court  for  the  Southern 
District  of  West  Virginia.  Chief  Judge  John  A.  Field,  Jr.  selected  me  as  his  Law 
Clerk,  thereby  providing  me  with  the  most  exciting  opportunity  possibly  available 
to  a  law  school  graduate. 


13 


40 


Response  of  Roben  Bnice  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


While  working  with  Judge  Field,  I  had  the  unique  opportunity  to  observe 
several  major  trials.  I  also  had  the  opporninity  to  serve  as  Judge  Field's  research 
assistant  on  several  published  opinions,  and  I  worked  closely  with  him  on  several 
jury  trials. 

July  1969  -  April  1970  —  Small  Town  General  Practice 

For  a  period  often  months  in  1969  and  1970,  I  practiced  law  in  the  three 
person  general  practice  law  firm  of  Haynes  &  Ford  in  Lewisburg,  the  county  seat 
of  Greenbrier  County,  West  Virginia.  While  in  Greenbrier  County,  I  had  the 
opportunity  to  engage  in  a  variety  of  legal  services,  primarily  "  country  lawyer" 
services,  and  my  primary  clients  were  individuals,  farmers  and  small  businesses. 
By  way  of  example,  1  was  involved  in  real  estate  title  work,  including  the 
preparation  of  title  reports  and  related  deeds  and  deeds  of  trust.  1  also  drafted 
wills,  handled  small  civil  claims  and  domestic  relations  cases,  tried  a  condemnation 
case  to  a  jury,  and  handled  various  types  of  criminal  appointments  for  indigent 
defendants  (payment  of  $50  per  felony  case). 

May  1970  -  December  1974  —  Federal  Prosecutor 

As  an  Assistant  United  States  Attorney  in  the  early  1970s,  my  client  was, 
in  all  types  of  criminal  prosecutions,  the  United  States  of  America.  During  this 
period,  I  also  represented  certain  agencies  and  officers  of  the  United  States  in 
various  types  of  civil  proceedings. 

While  working  with  United  States  Attorneys  W.  Warren  Upton  and  John 
A.  Field  III  in  a  small  office  consisting  of  three  to  six  attorneys,  1  supervised  the 
investigation  and  prosecution  of  nearly  all  the  major  cases  in  the  office.  1 
personally  participated  in  nearly  all  the  major  criminal  jury  trials.  Many  of  these 
cases  involved  public  corruption  matters  in  West  Virginia,  including,  among 
others,  prosecution  of  a  former  Governor  (Wally  Barron),  a  former  state  Attorney 
General  (C.  Donald  Robertson),  various  county  officials  of  Mingo  and  Logan 
counties  on  election  fraud  charges,  a  state  Deputy  Attorney  General  (Marshall 
West),  and  the  Director  of  the  Federal  Housing  Administration  in  West  Virginia 
(James  Haught). 


14 


41 


Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


In  addition,  I  prosecuted  organized  crime  figures,  including  Paul  Hankish, 
Leo  Calandros  and  John  Anthony  Bruno,  as  well  as  numerous  other  defendants  in 
multiple  major  narcotics  and  fraud  cases.  In  performing  these  functions,  I  worked 
extensively  with  the  various  federal  investigative  agencies,  such  as  the  FBI,  IRS, 
Secret  Service,  ATF  and  DEA,  and  with  (and  against)  hundreds  of  defense 
attorneys. 

When  our  family  expanded  to  four  children  in  late  1974,  I  decided  to  re- 
enter the  private  practice  of  law  in  West  Virginia.  In  January  1975,  I  joined  the 
Charleston  firm  of  Spilman,  Thomas.  Battle  &  Klostermeyer. 

January  1975  -  July  1977  —  Litigation  Practice 

Following  my  service  as  an  Assistant  United  States  Attorney,  I  practiced 
law  in  the  Spilman  firm,  a  law  firm  of  approximately  fifteen  attorneys,  in 
Charleston,  West  Virginia.  While  with  the  Spilman  firm,  I  handled  a  variety  of 
litigation  matters,  both  civil  and  criminal,  as  well  as  appeals  and  administrative 
matters. 

My  work  at  the  Spilman  firm  included  civil  litigation  on  behalf  of 
corporations  in  copyright,  product  liability  and  injunction  proceedings,  and  also  the 
representation  of  individuals  in  various  civil  and  criminal  matters.  The  criminal 
proceedings  in  which  I  was  involved  included  homicide,  mine  safety,  white  collar 
crime,  and  grand  jury  proceedings,  on  behalf  of  both  indigent  and  retained  clients. 
During  that  period,  I  personally  tried  three  federal  criminal  cases,  resulting  in  two 
acquittals  and  one  hung  jury. 

During  the  period  from  early  1976  until  the  summer  of  1977,  I  served  as 
counsel  for  the  Committee  on  Legal  Ethics  of  The  West  Virginia  State  Bar.  In 
such  capacity,  I  worked  closely  with  the  Committee  Chairman,  attorney  John  0. 
Kizer  of  Charleston,  in  handling  the  business  of  the  Committee  with  respect  to 
attorney  discipline  in  West  Virginia. 

My  work  for  the  Committee  included  evaluation  of  complaints,  advice  on 
decisions  to  prefer  charges  or  dismiss  complaints,  investigations  of  charges  and 
complaints,  preparation  for  and  handling  of  evidentiary  hearings,  filing  complaints 
and  charges  in  the  Supreme  Court  of  Appeals  of  West  Virginia,  and  representation 
of  the  Committee  in  the  Supreme  Court. 


15 


42 


Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


August  1977  -  February  1981  —  Federal  Prosecutor  (United  States  Attorney) 

As  United  States  Attorney  from  August  1977  until  February  1981,  my  client 
was  the  United  States  of  America.  I  also  represented  certain  agencies  and  officers 
of  the  United  States  in  various  types  of  civil  proceedings,  and  I  supervised  an  office 
staff  of  from  seven  to  thirteen  attorneys,  plus  supporting  personnel. 

My  tenure  as  United  States  Attorney  was  a  very  active  period.  We  handled 
a  substantial  number  of  public  corruption  prosecutions  and  other  high  visibility 
cases.  These  included  a  comprehensive  investigation  and  prosecution  of  the  liquor 
industry  in  the  United  States,  and  a  comprehensive  investigation  of  fraud  in  the  coal 
industry  of  West  Virginia. 

As  United  States  Attorney,  1  personally  participated  in  most  of  the  major 
criminal  trials  conducted  during  my  tenure.  1  enjoyed  the  courtroom  work  and  also 
felt  an  obligation,  as  United  States  Attorney,  to  be  in  the  forefront  in  highly  visible, 
potentially  controversial,  situations. 

During  the  period  from  1979  to  1981,  I  served  on  Attorney  General 
Benjamin  Civiletti's  Advisory  Committee  of  United  States  Attorneys.  During  that 
time,  I  was  elected  as  both  Secretary  and  Vice-Chair  of  the  Advisory  Committee. 
In  this  work  for  Attorney  General  Civiletti,  i  had  the  opportunity  to  be  involved  in 
the  development  of  policy  initiatives  at  the  Department  of  Justice. 

1981  -  Present  —  Litigation  and  Appeals 

Since  my  service  as  United  States  Attorney  in  the  Carter  Administration 
concluded  in  February  1981,  I  have  been  engaged  in  the  private  practice  of  law  in 
Charleston,  West  Virginia.  My  work  during  this  period  has  largely  involved  a 
variety  of  civil  and  criminal  litigation,  and  related  appeals,  in  the  state  and  federal 
courts  of  West  Virginia.  As  a  practicing  attorney,  1  have  represented  both 
plaintiffs  and  defendants  in  various  types  of  civil  proceedings.  Some  examples  are 
wrongful  death  cases,  personal  injury  cases,  and  product  liability  and  professional 
malpractice  litigation,  as  well  as  civil  rights,  securities,  RICO  and  ERISA 
proceedings. 


16 


43 


Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 


In  criminal  proceedings,  I  have  also  represented  a  variety  of  defendants,  as 
well  as  subjects  and  targets  of  grand  jury  proceedings  in  the  state  and  federal 
courts.  I  have  represented  various  political  figures  in  criminal  tnatiers,  and  have 
defended  corporate  officials  in  white  collar  proceedings.  1  have  represented  clients 
on  a  variety  of  criminal  charges,  primarily  white  collar  crime  matters,  and  in  cases 
involving  RICO,  tax  fraud,  mail  fraud,  antitrust  and  homicide.  In  addition,  I  have 
represented  various  grand  jury  witnesses  about  whom  there  is  no  public  knowledge. 
This  grand  jury  work  was  part  of  my  practice  in  the  early  1980s,  particularly  with 
respect  to  public  corruption  and  election  fraud  investigations  in  West  Virginia. 

During  the  period  since  my  departure  from  government  service,  I  have  also 
involved  myself  with  bar  related  activities.  I  have  served  full  terms  on  the  Board 
of  Governors  and  the  Committee  on  Legal  Ethics  of  the  West  Virginia  State  Bar, 
and  on  the  Judicial  Investigation  Commission  of  West  Virginia.  1  have  also  been 
selected  as  a  Fellow  of  the  American  Bar  Foundation  and  as  a  Fellow  of  the 
American  College  of  Trial  Lawyers. 

2.  Describe  your  typical  former  clients,  and  mention  the  areas,  if  any,  in  which 

you  have  specialized. 

a.  As  an  Assistant  United  States  Attorney  (1970  -  74)  and  as  United 
States  Attorney  (1977  -  81),  my  client  was,  in  all  types  of  criminal  prosecutions, 
the  United  States  of  America.  During  those  periods,  I  also  represented  certain 
agencies  and  officers  of  the  United  States  in  various  types  of  civil  proceedings. 

b.  During  my  various  periods  of  private  practice,  I  have  represented 
various  types  of  clients  in  a  variety  of  civil  and  criminal  proceedings. 

(1)  1969  -  1970  —  First,  while  practicing  law  in  a  small  firm  in 
Lewisburg,  the  county  seat  of  Greenbrier  County,  I  represented  an  array  of 
individual  clients,  as  well  as  farmers  and  small  businesses,  in  a  variety  of 
legal  matters.  I  represented  numerous  individuals  in  legal  matters  involving 
real  estate  titles,  deeds  and  wills,  small  civil  claims,  condemnation 
proceedings,  domestic  relations  issues,  and  in  various  types  of  criminal 
appointments. 

(2)  1975  -  1977  —  Following  my  tenure  as  an  Assistant  United 
States  Attorney,  I  practiced  law  in  a  law  firm  of  approximately  fifteen 
attorneys  in  Charleston,  West  Virginia,  where  I  handled  a  variety  of 

17 


44 


Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 


litigation  matters,  both  civil  and  criminal,  as  well  as  appeals  and 
administrative  matters.  My  work  at  Spilman,  Thomas,  Battle  & 
Klostermeyer  included  civil  litigation  on  behalf  of  large  corporations  in 
copyright,  product  liability  and  injunction  proceedings,  and  also  the 
representation  of  individuals  in  various  civil  and  criminal  matters. 

While  at  the  Spilman  firm,  i  represented  such  corporate  entities  as 
CBS  Inc.,  the  Recording  Industry  Association  of  America,  DuPont  and 
Weirton  Steel,  as  well  as  a  variety  of  individuals.  The  criminal  proceedings 
in  which  I  represented  clients,  most  of  whom  were  individual  citizens, 
included  homicide,  mine  safety,  car  theft,  assault  on  a  correctional  officer, 
various  white  collar  crime  matters,  and  grand  jury  proceedings. 

(3)  1981  -  present  —  Following  my  term  as  United  States 
Attorney  in  the  Carter  Administration,  I  have  been  involved  in  private 
practice  in  Charleston,  West  Virginia.  My  work  during  this  period  has 
largely  involved  a  variety  of  civil  and  criminal  litigation,  and  related 
appeals,  in  the  state  and  federal  courts  of  West  Virginia. 

My  clients  in  civil  matters  have  included  investment  banking  entities 
Morgan  Stanley,  Salomon  Brothers  and  Paine  Webber,  Governor  (Senator) 
John  D.  Rockefeller  IV.  former  West  Virginia  Governor  Hulett  C.  Smith, 
directors  of  Weirton  Steel  Corporation,  pharmaceutical  companies,  banking 
and  coal  executives,  partners  in  major  law  firms,  and  tobacco  company 
Philip  Morris. 

While  in  private  practice  since  1981,  I  have  represented  both 
plaintiffs  and  defendants  in  various  types  of  civil  proceedings.  Some 
examples  of  those  representations  are  described  briefly  as  follows: 

(a)  In  securities  litigation.  1  have  represented  some  of  the 
largest  investment  banking  entities,  including  Morgan  Stanley;  and 

(b)  In  civil   rights  cases,   I   have  defended  a  sitting 
Governor; 


45 


Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


(c)  In  product  liability  and  professional  malpractice 
litigation,  I  have  represented  pharmaceutical  firms,  medical  device 
manufacturers,  tobacco  manufacturers,  as  well  as  lawyers  and 
accountants; 

(d)  In  wrongful  death  proceedings,  I  represented  the 
surviving  spouse  and  children  of  a  mother  killed  by  a  tractor-trailer 
truck. 

(e)  In  another  wrongful  death  proceeding,  I  represented 
the  widow  and  two  surviving  sons  of  a  "good  Samaritan"  killed  by 
a  runaway  coal  truck  at  a  school  bus  accident  scene. 

(f)  I  represented  the  outside  directors  of  Weirton  Steel 
Corporation  in  stockholder  derivative  litigation. 

(g)  I  have  been  involved  in  various  other  types  of  civil 
proceedings,  including  several  injunction  proceedings  and  also 
shareholder  derivative  litigation  on  behalf  of  banking  officials. 

Since  my  1981  resignation  as  United  States  .Attorney,  I  have 
also  been  involved  in  the  practice  of  criminal  law  In  criminal 
proceedings,  I  have  also  represented  a  variety  of  defendants,  as  well 
as  both  subjects  and  targets  of  grand  jury  proceedings,  in  the  state 
and  federal  courts . 

Did  you  appear  in  court  frequently,  occasionally,  or  not  at  all?  If  the 
frequency  of  your  appearances  in  court  varied,  describe  each  such 
variance,  giving  dates. 

Throughout  my  legal  career,  I  have  been  primarily  a  trial 
and  appellate  attorney.  As  such,  I  have  made  frequent  court 
appearances  in  trials  and  in  other  proceedings  throughout  my  career, 
particularly  during  the  eight  years  of  my  service  as  a  federal 
prosecutor  in  southern  West  Virginia. 

In  May  of  1970,  I  accepted  appointment  as  an  Assistant 
United  States  Attorney  for  the  Southern  District  of  West  Virginia. 
My  service  as  an  Assistant   United  States   Attorney  continued 

19 


46 


Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


through  1974.  During  my  tenure  as  an  Assistant  United  States 
Attorney,  I  was  continuously  in  court  in  trials,  appeals,  grand  jury 
proceedings  and  other  related  court  proceedings.  During  that  period 
I  was  involved  in  the  prosecution  of  a  variety  of  criminal  cases, 
including  a  substantial  number  of  public  corruption  and  other  high 
visibility  prosecutions.  We  successfully  tried  and  convicted 
numerous  public  officials,  including  a  former  Governor  of  West 
Virginia.  I  tried  approximately  ninety  criminal  cases  in  the  district 
court,  and  handled  numerous  appeals  in  the  Fourth  Circuit  Court  of 
Appeals. 

My  service  as  United  States  Attorney  spanned  the  Carter 
Administration,  continuing  through  February  1981.  During  that 
period,  !  was  also  in  court  frequently  in  a  variety  of  trials  and  other 
proceedings.  1  tried  several  of  the  major  cases  in  our  district, 
including  prosecution  in  1979  of  the  former  Liquor  Commissioner 
of  West  Virginia. 

While  in  private  practice,  my  court  appearances  have  not 
been  as  frequent  as  when  I  served  as  a  federal  prosecutor.  I  have, 
however,  always  been  involved  in  a  variety  of  court  proceedings  in 
both  the  state  and  federal  courts  of  West  Virginia.  For  example, 
while  in  private  practice  in  the  mid-1970s,  I  tried  three  federal 
criminal  cases  to  verdict,  resulting  in  two  acquittals  and  one  hung 
jury.  Since  1981,  I  have  been  involved  in  more  than  a  dozen  jury 
trials,  several  of  which  lasted  several  weeks.  In  addition,  I  have 
always  made  frequent  and  regular  court  appearances  in  motion  and 
appellate  practice,  in  both  state  and  federal  courts. 

In  addition  to  my  private  practice  trial  work,  which  has 
largely  involved  litigation  of  a  complex  character,  I  have  personally 
handled  scores  of  appeals,  motions  and  discovery  proceedings. 
Several  major  complex  civil  proceedings  have  involved  extensive 
out-of-court  litigation  efforts.  As  with  most  trial  lawyers,  many  of 
the  civil  and  criminal  proceedings  in  which  I  have  been  engaged 
have  been  resolved  outside  of  court  prior  to  trial. 


20 


47 


Response  of  Roben  Bnice  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


My  clients  in  civil  matters  have  included  investment  banking 
entities,  pharmaceutical  companies,  medical  device  manufacturers, 
banking  and  coal  executives,  and  a  tobacco  company.  In  addition. 
I  have  represented  individual  plaintiffs  in  various  types  of  civil 
proceedings,  such  as  surviving  spouses  and  family  members  in 
wrongful  death  cases. 

Put  succinctly,  I  have  engaged  in  extensive  trial  vk^ork  over 
the  years,  as  both  a  federal  prosecutor  and  as  a  private  attorney.  As 
a  result  of  these  and  other  endeavors,  I  have  been  selected  as  a 
charter  member  of  the  West  Virginia  Chapter  of  the  American 
Board  of  Trial  Advocates,  a  Fellow  of  the  American  College  of 
Trial  Lawyers,  and  a  Fellow  of  the  American  Bar  Foundation. 

2.  What  percentage  of  these  appearances  was  in: 

(a)  federal  courts; 

(b)  state  courts  of  record; 

(c)  other  courts. 

1969-1970  (Private  Practice,  Lewisburg,  West  Virginia) 

Federal  Courts  -  10% 

State  Courts  -  90% 

Other  Courts  -  0% 

1970-1974  (Assistant  United  States  Attorney) 


Federal  Courts  - 

99% 

State  Courts  - 

1% 

Other  Courts  - 

0% 

1975-1977  (Private  Practice,  Charleston,  West  Virginia) 


Federal  Courts  - 

80% 

State  Courts  - 

20% 

Other  Courts  - 

0% 

21 


48 


Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


1977-1981  (United  States  Attorney) 


Federal  Courts  - 

98% 

State  Courts  - 

2% 

Other  Courts  - 

0% 

1981-1998  (Private  Practice,  Charleston,  West  Virginia) 


Federal  Courts  - 

50% 

State  Courts  - 

50% 

Other  Courts  - 

0% 

What  percentage  ot  your  litigation  was: 

(a)  civil; 

(b)  criminal. 

1969-1970  (Private  Practice,  Lewisburg,  West  Virginia) 

Civil  Litigation  -  80% 

Criminal  Litigation  -       20% 

1970-1974  (Assistant  United  States  Attorney) 

Civil  Litigation  -  1  % 

Criminal  Litigation  -        99% 

1975-1977  (Private  Practice,  Charleston,  West  Virginia) 

Civil  Litigation  -  50% 

Criminal  Litigation  -       50% 

1977-1981  (United  States  Attorney) 

Civil  Litigation  -  2% 

Criminal  Litigation  -       98% 


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Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 


1981-1998  (Private  Practice,  Charleston,  West  Virginia) 

Civil  Litigation  -  70% 

Criminal  Litigation  -       30% 

State  the  number  of  cases  m  courts  of  record  you  tried  to  verdict  or 
judgment  (rather  than  settled),  indicating  whether  you  were  sole 
counsel,  chief  counsel,  or  associate  counsel. 

I  have  tried  approximately  120  cases  to  verdict  in  courts  of 
record.   Of  these  trials: 

(1)  Approximately  24  were  tried  as  sole  counsel; 

(2)  Approximately  86  were  tried  as  chief  counsel;  and 

(3)  Approximately  10  were  tried  as  an  associate  counsel. 
What  percentage  of  these  trials  was: 

a.  jury; 

b.  non-jury. 

1969-1970  (Private  Practice,  Lewisburg,  West  Virginia) 

Jury  -  100% 

Non-Jury  -  0% 

1970-1974  (Assistant  United  States  Attorney) 

Jury  -  98% 

Non-Jury  -  2% 

1975-1977  (Private  Practice,  Charleston,  West  Virginia) 

Jury  -  80% 

Non-Jury  -  20% 


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Response  of  Roben  Bruce  King  to 
Questionnaire  for  Judicial  Nonunees 
United  States  Senate 
(Public) 
July  3,  1998 


1977-1981  (United  States  Attorney) 

Jury  -  95% 

Non-Jury  -  5% 

1981-1998  (Private  Practice,  Charleston.  West  Virginia) 

Jury  -  86% 

Non-Jury  -  14% 


18.  Litigation:  Describe  the  ten  most  significant  litigated  matters  which  you  personally  handled. 
Give  the  citations,  if  the  cases  were  reported,  and  the  docket  number  and  date  if  unreported. 
Give  a  capsule  summary  of  the  substance  of  each  case.  Identify  the  party  or  parties  whom  vou 
represented;  describe  in  detail  the  nature  of  your  participation  in  the  litigation  and  the  final 
disposition  of  the  case.  Also  state  as  to  each  case: 

(a)  the  date  of  representation; 

(b)  the  name  of  the  court  and  the  name  of  the  ludge  or  ludges  before  whom  the  case  was 
htigated;  and 

(c)  The  individual  name,  addresses,  and  telephone  numbers  of  co-counsel  and  or  principal 
counsel  for  each  of  the  other  parties. 


United  States  v.  William  Wallace  Barron.  Ralph  E.  Buckalew.  Bonn  Brown  and 
Robert  G.  Perry:  Criminal  Nos   71-26.  71-28 

COURTS:        United  States  District  Courts,  Southern  District  of  West  Virginia 
and  Western  District  of  Virginia; 
United  States  Court  of  Appeals  for  the  Fourth  Circuit 

See:   United  States  v   Brown.  505  F.2d  261  (4th  Cir.  1974) 

PRESIDING 

JUDGES:        United  States  District  Judges  John  A.  Field,  Jr.,  Sidney  L.  Christie 
and  Walter  E.  Hoffman  (all  deceased) 

ROLE:  Prosecutor,  Assistant  United  States  Attorney 

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Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 


RELEVANT  TIME  PERIOD: 


1971-1974       (jury  trials  in  March  1972  and 
September  1972) 


CO-COUNSEL: 

W.  Warren  Upton 
Jackson  &  Kelly 
1600  Laidley  Tower 
P.O.  Box  553 

Charleston,  WV  25322-0553 
(304)  340-1217 


Charles  F.  C.  Ruff 
Counsel  to  the  President 
The  White  House 
Washington,  DC  20500 
(202)  456-1414 


John  A.  Field  III 
Belvedere  Plantation  Golf  Club 
2368  Country  Club  Drive 
Hampstead,  NC  28443 
(910)  270-2703 

PRINCIPAL  COUNSEL  FOR  OTHER  PARTIES: 


John  T.  Kay,  Jr. 

Kay,  Casto,  Chaney,  Love  &  Wise 

P.O.  Box  2031 

Charleston,  WV  25327-2031 

(304)  345-8900 

Rudolph  L.  DiTrapano 
DiTrapano  Barrett  &  DiPiero 
604  Virginia  Street,  East 
.    Charleston,  WV  25301 
(304)  342-0133 

CAPSULE  SUMMARY: 


George  G.  Guthrie 

King  Allen  Guthrie  &  McHugh 

P.O   Box  3394 

Charleston,  WV  25333-3394 

(304)  345-7250 

Sam  Harshbarger  (deceased) 
Milton,  WV 

Thomas  Wadden  (deceased) 
Washington,  DC 


In  1971  and  1972,  I  served  as  prosecutor  in  the  investigation  and  prosecution  of 
former  West  Virginia  Governor  William  Wallace  Barron  and  others  on  charges  of 
conspiracy,  obstruction  of  justice,  and  bribery,  arising  from  payment  of  a  $25,000  bribe 
to  the  jury  foreman  in  a  1968  federal  criminal  trial  in  Charleston,  West  Virginia.   While 


25 


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Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 

serving  as  an  Assistant  United  States  Attorney  for  southern  West  Virginia  in  the  early 
1970s,  I  worked  with  United  States  Attorney  Warren  Upton  and  Department  of  Justice 
Attorney  Charles  Ruff  in  the  grand  jury  investigation  of  the  bribery  circumstances.  This 
investigation  resulted  in  the  indictment  of  Governor  Barron  and  his  co-conspirators. 

Governor  Barron  and  five  others  had  been  previously  indicted  and  prosecuted  in 
1968  on  various  charges,  including  conspiracy  (18  U.S.C.  §  371)  to  violate  the  Travel  Act 
(18  U.S.C.  §  1952).  Four  of  the  defendants  were  convicted,  one  (Governor  Barron)  was 
acquitted,  and  the  sixth  was  awarded  a  mistrial.  This  trial  occurred  in  1968,  when  I 
worked  as  a  Law  Clerk  for  Judge  John  A.  Field,  Jr.,  and  I  was  not  involved.  These 
convictions  were  affirmed  on  appeal  to  the  Fourth  Circuit.  United  States  v.  Sawyers.  423 
F.2d  1335  (4th  Cir.  1970).  In  late  1970  and  early  1971,  the  1968  jury  bribery  was 
discovered,  investigated  and  prosecuted. 

The  jury  bribery  developed  when  the  wife  of  Ralph  Buckalew,  the  sequestered  jury 
foreman,  approached  the  wife  of  Governor  Barron,  during  the  1968  trial,  seeking  a  cash 
payoff  in  exchange  for  acquittals.  Mrs.  Barron  advised  Governor  Barron  of  this  event  and 
delivered  to  him  a  set  of  "bribery  notes"  from  the  Buckalews  concerning  the  cash  demand. 

The  goverrunent  asserted  that  when  Governor  Barron  advised  his  attorney  of  this 
bribery  opportunity,  money  was  raised  by  the  conspirators  for  delivery  to  Mrs.  Buckalew. 
The  charge  asserted  that  Governor  Barron's  attorney  contributed  $15,0{X)  cash  and  that  co- 
defendant  Bonn  Brown  borrowed  $10,000  cash  and  contributed  this  sum  to  the  bribe 
payment.  Governor  Barron  contributed  nothing.  The  $25,000  cash  bribe  was  delivered 
by  Mrs.  Barron  to  Mrs.  Buckalew.  Governor  Barron  was  acquitted  in  the  1968  trial,  and 
the  other  defendants,  including  Mr.  Brown,  were  convicted. 

In  February  1971,  Mr.  Buckalew  confessed  his  guilt  to  accepting  the  jury  bribe. 
His  confession  was  made  in  the  office  of  United  States  Attorney  W  Warren  Upton,  in  the 
presence  of  Mr.  Upton,  Mr.  Ruff  and  me.  The  indictments  and  prosecutions  of  Governor 
Barron,  Ralph  E.  Buckalew,  Robert  G.  Perry  and  Bonn  Brown  promptly  followed 

By  way  of  summary,  the  jury  bribery  investigation  and  prosecution  of  Governor 
Barron  and  his  colleagues  resulted  in  the  following: 

a.  The  1971  conviction  and  sentence  of  Governor  Barron  on  his  guilty 
plea,  to  a  prison  term  of  twelve  years  (Judge  John  A.  Field,  Jr.).  Governor  Barron 
thereafter  became  a  witness  for  the  goverrunent.   We  utilized  his  testimony  in  the 


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Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 


trials  of  Robert  G.  Perry  and  Bonn  Brown,  and  1  was  the  government  attorney 
responsible  for  Governor  Barron  as  a  witness  in  both  trials. 

b.  The  1971  conviction  and  sentence  of  the  jury  foreman,  Ralph  E. 
Buckalew,  on  his  guilty  plea,  to  a  prison  term  of  twenty  years  (Judge  John  A. 
Field,  Jr.).  Mr.  Buckalew  also  became  a  witness  for  the  government.  His 
cooperation  was  important  in  our  investigation  and  prosecutions,  but  not  as 
essential  to  the  Perry  and  Brown  trials  as  the  testimony  of  Governor  Barron. 

c.  The  1972  trial  and  acquittal  of  Mr.  Perry,  Governor  Barron's  1968 
trial  attorney.  I  served  as  associate  counsel  for  the  government  at  the  Perry  trial, 
working  with  attorney  James  Kelley  of  the  Criminal  Division  of  the  Department  of 
Justice.  This  trial  lasted  approximately  three  weeks  in  March  1972,  and  was 
conducted  before  Judge  Sidney  L.  Christie  in  Charleston;  and 

d.  The  September  1972  trial  and  conviction  of  Bonn  Brown,  Governor 
Barron's  former  law 'partner.  I  served  as  lead  counsel  in  the  seven  day  Brown  trial, 
conducted  before  Judge  Walter  E.  Hoffman  in  Charlottesville,  Virginia 
Mr.  Brown  had  sought  and  obtained  a  change  of  venue  from  West  Virginia  to 
Virginia.  I  'thereafter  briefed  and  argued  the  appeal  of  Mr.  Brown  in  the  Fourth 
Circuit  Court  of  Appeals.  This  appeal  resulted  in  summary  affirmance  at  oral 
argument.  United  States  v.  Brown.  505  F.2d  261  (4th  Cir.  1974). 


2.  United  States  v.  William  Anderson.  John  R.  Browning.  W.  Bernard  Smith.  Earl 

Tomblin  and  Ernest  "Red"  Hager:  Criminal  No.  9520  (Huntington) 

COURTS:        United  States  District  Court,  Southern  District  of  West  Virginia 
United  States  Court  of  Appeals  for  the  Fourth  Circuit 

See:      United  States  v.  Anderson.  481  F.2d  685  (4th  Cir.  1973); 
and  Anderson  v.  United  States.  417  U.S.  21 1  (1974). 

PRESIDING 

JUDGE:  United  States  District  Judge  John  A.  Field,  Jr.  (deceased) 

ROLE:  Prosecutor,  Assistant  United  States  Attorney 


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Response  of  Roben  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


RELEVANT  TIME  PERIOD:  1971-1974        (jury    trial    in    August    and 

September  1971) 

CO-COUNSEL: 

W.  Warren  Upton  (Assisted  by  FBI  Special  Agent 

Jackson  &  Kelly  Calvin  D.  Knott. 

P.O.  Box  553  Mr.  Knott  is  presently  located  at 

Charleston,  WV  25322-0553  2215  Lenore  Street,  Milton,  WV   25541 

(304)340-1217  (304)743-0681) 

PRINCIPAL  COUNSEL  FOR  OTHER  PARTIES: 

Philip  A.  Baer  Zane  Grey  Staker  (deceased) 

1411  Patriot  Drive  Williamson,  WV 

Melbourne,  FL  32940-6861 
(407)  255-6979 

CAPSULE  SUMMARY: 

In  1971,  as  a  federal  prosecutor  in  West  Virginia,  I  investigated  and  prosecuted  five 
Logan  County,  West  Virginia  public  officials  and  politicians  on  civil  rights  charges 
relating  to  vote  fraud  and  election  theft,  prosecuted  under  the  Civil  Rights  Act  of  1866  (18 
U.S.C.  §  241).  Working  with  United  States  Attorney  Warren  Upton  and  the  FBI  (Special 
Agent  Calvin  D.  Knott),  I  supervised  the  grand  jury  proceedings  in  this  investigation.  We 
secured  the  indictment  of  five  of  the  leading  politicians  of  Logan  County  (William 
Anderson,  the  County  Assessor;  John  R.  Browning,  the  Circuit  Clerk;  W  Bernard  Smith, 
a  Logan  County  State  Senator;  Earl  Tomlin,  the  County  Sheriff;  and  Ernest  "Red"  Hager, 
the  Chief  Deputy  Sheriff  and  Democratic  County  Chairman),  for  conspiracy  to  cast  false 
votes  and  steal  the  County  Commission  election  of  the  Democratic  party  in  the  May  1970 
Primary  Election. 

Our  evidence  in  this  case  established  that  the  defendants  had  engaged  in  a  successful 
effort  to  control  the  political  system  of  Logan  County.  In  particular,  the  defendants  sought 
to  secure  the  nomination  and  re-election  of  Red  Hager's  father,  Okey  Hager,  to  the 
three-person  Logan  County  Commission.  Control  of  this  Commission  seat  was  essential 
to  the  defendants,  and  to  their  faction  of  the  Democratic  Party  (the  "Hager  Faction"),  if 


55 


Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 


they  were  to  maintain  their  two-to-one  voting  majority  on  the  Commission    Importantly, 
under  state  law,  the  County  Commission  controlled  the  county  budget 

The  defendants  carried  out  their  election-day  scheme  by  establishing  control  of  all 
five  election  officials  (three  Democrats  and  two  Republicans)  at  the  Mount  Gay  Precinct 
(known  in  West  Virginia  as  a  "set-up  house").  False  votes  were  thereby  cast,  with 
impunity,  at  the  Mount  Gay  precinct,  and  the  number  of  false  votes  cast  at  that  precinct 
were  sufficient  to  swing  the  county-wide  election  to  Okey  Hager. 

The  five  defendants  were  therefore  successful  in  their  effort  to  steal  the  election 
from  their  opponents,  the  so-called  Neal  Scaggs  Faction  of  the  Logan  Democratic  Party. 
Thereafter,  the  defendants  made  extensive  use  of  false  testimony  to  secure  finality  for  this 
election  result  by  way  of  a  post-election  proceeding  before  the  County  Commission  known 
as  an  "election  contest."  The  defendants  were  also  successful  in  judicial  proceedings 
seeking  to  overturn  the  election  result  in  the  state  courts  of  West  Virginia.  See  State  ex 
rel.  Hager  v.  Oakley.  177  S.E.2d  585  (W.  Va.  1970). 

Following  the  indictment,  which  was  returned  in  January  1971,  and  after  extensive 
pre-trial  proceedings,  we  tried  and  convicted  all  five  defendants.  1  served  as  associate 
counsel  for  the  United  States,  along  with  United  States  Attorney  W.  Warren  Upton,  in  the 
three  week  jury  trial  before  Judge  John  A.  Field,  Jr  in  Huntington  in  August  and 
September  1971.   Each  defendant  was  sentenced  to  ten  years  in  prison 

I  thereafter  briefed  and  argued  the  appeal  taken  by  the  defendants,  and  the  five 
convictions  were  affirmed  by  the  Fourth  Circuit  Court  of  Appeals  in  June  of  1973.  United 
States  V.  Anderson.  481  F.2d  685  (4th  Cir.  1973).  Following  a  grant  of  certiorari  by  the 
Supreme  Court  of  the  United  States,  these  convictions  were  again  affirmed,  in  1974,  in  a 
decision  authored  by  Justice  Marshall.  Anderson  v.  United  States.  417  U.S.  211  (1974). 

The  defendants  were  later  resentenced  by  Judge  Dennis  R  Knapp,  who  reduced  the 
sentences  of  each  from  ten  years  to  six  months 


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Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


56 


United  States  v.  John  Rife.  Hampton  Clark  and  Paul  Maynard  Mason.  Criminal 
No.  76-2-BL 


COURT: 


United  States  District  Court.  Southern  District  of  West  Virginia 


PRESIDING 

JUDGE;  United  States  District  Judge  K.  K.  Hall 

ROLE:  Defense  attorney  -   Defendant  Hampton  Clark 

RELEVANT  TIME  PERIOD:  Early  1976  (jury  trial  in  April  1976) 

CO-COUNSEL: 

Jerry  J.  Cameron 

Brewster,  Morhous  &  Cameron 

P.O.  Box  529 

Bluefield,  WV  24701-0529 

(304)  325-9177 

PRINCIPAL  COUNSEL  FOR  OTHER  PARTIES: 


Robert  B.  Allen 

King  Allen  Guthrie  &  McHugh 

P.O.  Box  3394 

Charleston.  WV  25333-3394 

(304)  345-7250 


W.  Warren  Upton 

Jackson  &  Kelly 

P.O.  Box  553 

Charleston,  WV  25322-0553 

(304)340-1217 


H.  Marshall  Jarrett 

Associate  Deputy  Attorney  General 

Department  of  Justice 

950  Pennsylvania  Ave..  N.W. 

Washington,  DC   20530 

(202)  305-7474 

Robert  E.  Holroyd 

Johnston.  Holroyd  &  Associates 

1438  Main  Street 

Princeton,  WV   24740 

(304)425-2103 


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Response  of  Roben  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 


William  O.  Bivens  John  C.  Ashworth  (deceased) 

Circuit  Judge  of  Mercer  County  (ret.)        Beckley,  WV 
2  Oak  Lane 
Bluefield,  WV   24701 
(304)  325-6377 

CAPSULE  SUMMARY: 

While  in  private  practice  in  the  mid-1970s,  1  acted  as  lead  counsel  for  Hampton 
Clark  in  connection  with  various  federal  criminal  charges  relating  to  the  mine  safety  laws. 
My  co-counsel  in  the  defense  of  Mr.  Clark  was  lawyer  Jerry  J.  Cameron  of  Bluefield, 
West  Virginia.  Mr.  Clark  had  been  employed  as  General  Mine  Foreman  of  Itmann  No. 
3  Mine,  Itmann,  West  Virginia,  a  coal  mme  operated  by  Consolidation  Coal  Company. 
Mr.  Clark's  co-defendants,  in  this  and  related  cases,  included  Itmann  Coal  Company,  the 
Itmann  Mine  Superintendent,  and  two  union  coal  miners.  Following  indictment  and 
extensive  pretrial  proceedings,  a  two  week  jury  trial  was  conducted  in  the  spring  of  1976 
in  Bluefield,  West  Virginia. 

Mr.  Clark  was  a  life-long  southern  West  Virginia  coal  miner,  having  worked  both 
as  a  "union  miner"  and  as  a  "non-union"  mine  foreman.  The  Itmann  Trial  involved  a 
number  of  expert  witnesses  with  respect  to  coal  mine  safety  and  proper  mining  methods. 

The  charges  against  the  defendants  related  to  an  ignition  of  methane  gas  in  the 
Itmann  Mine,  allegedly  resulting  from  unlawful  practices  relating  to  (1)  improper 
ventilation  of  the  mine  and  (2)  the  firing  of  illegal  unconfined  shots  (also  called  "adobe" 
or  "mudcap"  shots)  in  the  mine.  The  trial  involved  several  novel  issues  for  criminal 
prosecution,  particularly  relating  to  the  potential  for  criminal  responsibility  by  coal 
companies,  their  management  personnel,  and  union  coal  miners  for  unsafe  mining  practices 
in  West  Virginia  coal  mines. 

The  jury  trial  concluded  in  April  1976.  None  of  the  defendants  testified,  and  the 
defense,  in  a  tactical  maneuver,  called  no  witnesses  and  presented  no  evidence.  All 
defendants  were  acquitted. 


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Response  of  Robcn  Bruce  King  to 
Qucslionnairc  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 


United  States  v.  J.  Richard  Barber.  Criminal  No.  79-20038;  and 

United  States  v.  21  Brands.  Inc.  et  al..  Criminal  No   78-20044 

COURTS:        United  States  District  Court,  Southern  District  ot  West  Virginia; 
United  States  Court  ot  Appeals  tor  the  Fourth  Circuit 

See:   612  F.2d  1311  (4th  Cir  1979) 

476  F.  Supp.  182  (S.D.W.  Va.  1979);  668  F.2d  778  (4th 
Cir.  1982); 

PRESIDING 

JUDGE:  United  States  District  Judge  John  T.  Copenhaver.  Jr 

ROLE:  Prosecutor  -  United  States  Attorney 

RELEVANT  TIME  PERIOD:  1978-1980       (non-jury  trial  in  November 

1978  and  jury  trial  in  August- 
September  1979) 


CO-COUNSEL: 

H.  Marshall  Jarrett 

Associate  Deputy  Attorney  General 

Department  of  Justice 

950  Pennsylvania  Ave.,  N.W. 

Washington.  DC  20530 

(202)  305-7474 

Mary  Stanley  Feinberg 
United  States  Magistrate  Judge 
216  Law  and  Commerce  Building 
Bluefield.  WV   24701 
(304)  327-0376 


Rebecca  A    Beits 

llnited  States  Attorney 

500  Quarrier  Street 

P.O.  Box  1713 

Charleston,  WV   25326-1713 

(304)  345-2200 

Wayne  A.  Rich.  Jr. 
Assistant  United  States  Attorney 
1110  Market  Street 
Chattanooga,  TN   37402 
(615)752-5140 


32 


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Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 


PRIMARY  COUNSEL  FOR  OTHER  PARTIES: 


Rudolph  L.  DiTrapano 
DiTrapano  Barrett  &  DiPiero 
604  Virginia  Street,  East 
Charleston.  WV  25301 
(304)  342-0133 


Timothy  N.  Barber 
Barber  &  Ratliff 
212  Hale  Street 
Charleston,  WV   25301 
(304)  343-7676 


Joseph  R.  Goodwin 
United  States  District  Judge 
300  Virginia  Street,  East 
Charleston,  WV  25301 
(304)347-3192 


E.  Glenn  Robinson 
Robinson  &  McElwee 
P.O.  Box  1791 

Charleston,  WV  25326-1791 
(304)  344-5800 


John  J.  McAvoy 
Lukas,  McGowan,  Nace 
&  Gutierrez 
1111  19th  Street,  N.W. 
Washington.  DC  20036 
(202)  857-3500 


Paul  L.  Friedman 
United  States  District  Judge 
333  Constitution  Avenue,  N.W. 
Washington,  DC  20001 
(202)  273-0440 


John  S.  Martin,  Jr. 

United  States  District  Judge 

Foley  Square 

New  York,  NY   10007 

(212)791-1611 


Peter  E.  Fleming 

Curtis,  Mallet-Prevost  Colt 

&  Mosle 
101  Park  Avenue 
New  York,  NY    10178 
(212)696-6000 


Arthur  T.  Ciccarello 
Ciccarello  Del  Giudice  &  Lafon 
Suite  100 

1219  Virginia  Street.  East 
Charleston,  WV  25301 
(304)  343-4440 


John  T.  Kay,  Jr. 

Kay,  Casto,  Chaney,  Love  &  Wise 

P.O.  Box  2031 

Charleston,  WV  25327-2031 

(304)  345-8900 


33 


60 


Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 

John  B.  Carrico  Paul  E.  Plunkett 

Kay,  Casto,  Chaney,  Love  &  Wise  United  States  District  Judge 

P.O.  Box  2031  219  S.  Dearborn  Street 

Charleston,  WV  25327-2031  Chicago,  IL  60604 

(304)345-8900  (312)435-5775 

CAPSULE  SUMMARY: 

During  the  period  from  1978  through  early  1980,  I  supervised,  as  United  States 
Attorney,  a  comprehensive  investigation  and  prosecution  of  the  liquor  industry  in  the 
United  States  and  the  Alcohol  Beverage  Control  Commission  of  West  Virginia.  This 
investigation  resulted  in  convictions  of  more  than  forty  individuals  and  corporations  on 
various  criminal  charges,  including  commercial  bribery,  mail  fraud,  Hobbs  Act  (extortion) 
and  RICO. 

The  corporate  defendants  convicted  included  several  major  liquor  corporations, 
such  as  Seagram,  Jim  Beam  and  21  Brands.  While  most  of  the  convicted  defendants 
entered  guilty  pleas  to  various  charges  pursuant  to  plea  agreements,  two  trials  were 
conducted  in  the  federal  court  for  southern  West  Virginia,  before  Judge  John  T. 
Copenhaver,  Jr. 

United  States  v.  21  Brands.  Inc.  et  al. 

The  21  Brands,  Inc.,  liquor  company  and  two  of  its  senior  officers, 
Charles  Margolis,  its  President,  and  Gilbert  Breimeister,  its  Vice-President,  were  indicted 
and  convicted  of  obstruction  of  justice  and  of  mail  fraud.  The  defendants  were  established 
as  having  engaged  in  a  scheme  to  funnel  illegal  political  contributions  into  the  1976  West 
Virginia  Democratic  gubernatorial  campaign. 

This  scheme  was  carried  out  through  the  use  of  false  "Galliano  tastings"  in 
McDowell  County,  West  Virginia,  and  utilized  false  and  fictitious  invoices  to  "free-up" 
sums  of  cash  for  political  use.  The  three-day  trial  of  21  Brands  and  its  officers  was 
conducted  before  Judge  Copenhaver  in  November  of  1978.  I  acted  as  lead  counsel  for  the 
United  States  in  this  trial,  assisted  by  Assistant  United  States  Attorney  Rebecca  A.  Belts. 
The  convictions  were  affirmed  by  the  Fourth  Circuit  Court  of  Appeals.  United  States  v. 
Margolis,  612  F. 2d  1311  (4th  Cir.  1979). 


34 


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Response  of  Robert  Bnice  King  to 
Quesiionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


United  States  v.  J.  Richard  Barber 

Mr.  Barber,  the  Liquor  Commissioner  of  West  Virginia  in  the  Arch  Moore 
administration  in  the  early  1970s,  was  also  prosecuted  and  convicted  by  a  West  Virginia 
jury.  These  convictions  followed  a  three  week  trial  in  August  and  September  1979,  and 
were  on  various  charges,  including  mail  fraud,  RICO  and  the  Hobbs  Act.  I  was  lead 
counsel  for  the  prosecution  in  this  trial,  assisted  by  Assistant  United  States  Attorneys 
Wayne  A.  Rich,  Jr.  and  Rebecca  A.  Betts. 

This  trial  revealed  on  the  public  record  the  vast  use  of  false  records  over  many 
years  in  the  Liquor  Commission,  particularly  with  respect  to  falsified  "breakage"  and 
"liquor  samples"  records.  The  use  of  these  false  records  was  an  integral  part  of  a 
continuing  scheme,  over  many  years,  by  the  public  authorities  and  the  liquor  industry,  to 
"free-up"  large  quantities  of  liquor  for  use  by  state  officials  and  the  state  government  of 
West  Virginia  for  entertainment  and  other  purposes. 

The  convictions  of  Commissioner  Barber,  involving  the  first  criminal  RICO  charges 
initiated  and  pursued  in  West  Virginia,  were  appealed  to  the  Fourth  Circuit  Court  of 
Appeals.  The  appeal  was  argued  by  Ms.  Betts,  and  the  convictions  were  all  affirmed  in 
United  States  v.  Barber.  668  F.2d  778  (4th  Cir.  1982). 

West  Virginia  thereafter  abandoned  its  controlled  system  of  state  stores  with  respect 
to  the  marketing  of  alcohol.  Alcoholic  beverages  are  now  sold  in  West  Virginia  on  the 
free  market. 


5.         United  States  v.  Jerome  Otto  Lill.  et  al..  Criminal  No.  79-2(X)45,  consolidated  with 
Criminal  No.  79-20056 

COURT:         United  States  District  Court,  Southern  District  of  West  Virginia 

See;   511  F.  Supp  50(S.D.W.  Va.  1980);  735  F  2d  136  (4th  Cir. 
1984);  756  F.2d  994  (4th  Cir.  1985);  475  U.S.  66  (1986). 

PRESIDING 

JUDGES;        United  States  District  Judges  Dennis  R.   Knapp  and  John  T. 
Copenhaver,  Jr. 


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Response  of  Roben  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


ROLE:  Prosecutor  -  United  States  Attorney 

RELEVANT  TIME  PERIOD: 


CO-COUNSEL: 

J.  Timothy  DiPiero 
DiTrapano  Barrett  &  DiPiero 
604  Virginia  Street,  East 
Charleston,  WV  25301 
(304)  342-0133 


Wayne  A.  Rich,  Jr. 
Assistant  United  States  Attorney 
Eastern  District  of  Tennessee 
1110  Market  Street 
Chattanooga,  TN  37402 
(615)  752-5140 


1979-1980        (jury  trial  from  February  to 
July  1980) 


Rebecca  A.  Betts 

United  States  Attorney 

500  Quarrier  Street 

P.O.  Box  1713 

Charleston,  WV  25326-1713 

(304)  345-2200 

E.  Leslie  Hoffman  III 
Piper  &  Marbury 
1200  Nineteenth  Street,  N.W. 
Washington,  DC  20036-2430 
(202)  861-3900 


PRINCIPAL  COUNSEL  FOR  OTHER  PARTIES: 


Arthur  T.  Ciccarello 
Ciccarello  Del  Giudice  &  Lafon 
Suite  100 

1219  Virginia  Street.  East 
Charleston,  WV  25301 
(304)  343-4440 

W.  Dale  Greene 
633  Virginia  Street,  West 
Charleston,  WV  25302 
(304)  343-3633 


John  B.  Carrico 

Kay,  Casto,  Chaney,  Love  &  Wise 

P.O.  Box  2031 

Charleston,  WV  25327-2031 

(304)  345-8900 


Gregory  H.  Campbell 
803  Quarrier  Street 
Charleston,  WV  25301 
(304)342-4815 


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Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 


Gerald  H.  Goldstein 

29th  Floor,  Tower  Life  Building 

San  Antonio,  TX  78205 

(210)226-1463 


Richard  G.  Chosid 

1263  West  Square  Lake  Road 

Bioomfield  Hills,  MI  48013 

(313)334-2930 


Charles  W.  Giesen 
Giesen  &  Berman 
14  S.  Broom  Street 
Madison,  WI  53703 
(608)256-8351 


Frederick  D.  Fahrenz 
Sutter  &  Enslein 
1598  Kanawha  Blvd.  East 
Charleston,  WV  25311 
(304)  343-1514 


James  M.  Cagle 

Suite  1200 

1018  Kanawha  Blvd.,  East 

Charleston,  WV  25301 

(304)342-3174 


Michael  B.  Pollock 

1370  Avenue  of  the  Americas 

New  York,  NY 

(212)247-0400 

(last  known) 


Alan  Silber 

33  Evergreen  Place 

East  Orange,  NY  07018 

(201)678-2318 

(last  known) 


Edwin  F.  Kagin,  Jr. 
1250  Bardstown  Road 
Louisville,  KY  40204 
(502)451-2570 
(last  known) 


Michael  A.  Braun  (deceased) 
Charleston,  WV 

CAPSULE  SUMMARY; 

On  June  6,  1979,  a  DC-6  flying  from  Columbia  in  South  America  crashed  while 
attempting  to  land  at  Yeager  Airport  in  Charleston,  West  Virginia.  This  large  four  engine 
aircraft  was  seeking  to  smuggle  approximately  twelve  tons  of  marijuana  from  Columbia 
into  the  United  States. 

As  a  result  of  a  comprehensive  investigation  by  federal  and  state  authorities, 
conducted  under  my  supervision,  a  total  of  twelve  persons  were  indicted  for  drug 
smuggling,  conspiracy  and  other  related  crimes  in  federal  court  in  Charleston.  Of  those 
twelve  defendants,  four  entered  guilty  pleas,  seven  went  to  trial  in  1980  in  the  "Pot  Plane 
Trial,"  and  one  was  never  apprehended. 


37 


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Response  of  Roben  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 

Four  of  the  defendants  had  traveled  from  Columbia  to  West  Virginia  on  board  the 
"Pot  Plane,"  and  were  apprehended  soon  after  the  crash.  Two  of  the  defendants  were 
Kanawha  County  Deputy  Sheriffs,  who  were  charged  with  assisting  the  smugglers  by 
providing  security  for  the  plane  and  the  delivery  of  its  load  of  contraband.  The  remaining 
six  defendants  were  on  the  ground  in  two  Ryder  rental  trucks  awaiting  the  plane's  arrival 
at  Yeager  Airport.  One  truck,  carrying  three  defendants,  was  successfully  located,  and  its 
passengers  were  apprehended  nearly  thirty  miles  from  the  Airport,  while  they  were 
attempting  to  make  their  getaway.   The  other  truck  successfully  eluded  capture. 

The  Pot  Plane  Trial,  which  I  tried  personally  as  lead  counsel,  lasted  more  than  four 
months,  from  February  1980  to  July  1980.  The  government's  proof  was  largely 
circumstantial,  and  numerous  legal  issues  and  practical  problems  arose  during  the  trial, 
including  the  illness,  after  two  months  of  trial,  of  the  presiding  judge  (Judge  Knapp). 
Judge  Copenhaver  completed  this  trial,  which  resulted  in  four  convictions,  two  acquittals 
and  one  hung  jury.  Neither  of  the  Deputy  Sheriffs  was  convicted.  I  was  assisted  at  trial 
by  Assistant  United  States  Attorneys  J.  Timothy  DiPiero  and  Rebecca  A  Betts.  the  present 
United  States  Attorney. 

I  resigned  as  United  States  Attorney,  following  the  defeat  of  President  Carter,  at 
the  end  of  February  1981.  Thereafter,  appeals  were  taken  and  the  convictions,  except  for 
the  conspiracy  charge,  were  affirmed  by  the  Fourth  Circuit  Court  of  Appeals.  Several 
interesting  legal  issues  were  involved,  and  the  Court  of  Appeals,  divided  2-1  in  the  panel 
and  7-5  en  banc,  reversed  the  conspiracy  convictions  on  the  basis  of  a  violation  of 
Rule  6(d)  of  the  Federal  Rules  of  Criminal  Procedure.  United  States  v  Mechanik. 
735  F.2d  136  (4th  Cir.  1984),  affld  m  pan.  756  F  2d  994  (4th  Cir  1985)  (per  curiam) 
A  writ  of  certiorari  was  thereafter  granted  by  the  Supreme  Court  of  the  United  States.  The 
Court  held  that  any  error  was  harmless.  re\ersed  the  Court  of  Appeals  on  that  issue,  and 
affirmed  all  the  convictions.   Mechanik  \    United  States.  475  US  66  (1986) 


Bever.  et  al.  v.  Rockefeller,  et  al..  Civil  Action  Nos.  82-2506.  82-2048,  82-0042, 
82-2083,  83-2110,  83-2157.  83-0048.  84-3088  (S.D  W  Va);  81-0093 
(N.D.  W.  Va.) 

COURTS:  United  States  District  Courts.  Northern  and  Southern  Districts  of 
West  Virginia;  United  States  Court  of  Appeals  for  the  Fourth 
Circuit 


38 


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Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 


See:      Bever  v.  Giibertson.  724  F.2d  1083  (4th  Cir.  1984).  cert. 
denied  469  US.  948  (1984);  and 

England  v.  Rockefeller.  739  F.2d  140  (4th  Cir.  1984). 

PRESIDING 

JUDGES;        United  States  District  Judges  John  T.  Copenhaver.  Jr.,  Charles  H. 
Haden  II  and  Robert  E.  Maxwell 


ROLE: 


Counsel  for  Governor  (now  U.S.  Senator)  John  D   Rockefeller  IV 


RELEVANT  TIME  PERIOD: 


1983-1986        (jury  trial  in  April  and  May 
1986) 


CO-COUNSEL: 


Rebecca  A    Belts 
United  States  Attorney 
500  Quarrier  Street 
P.O.  Box  1713 
Charleston,        WV 
(304)  345-2200 


25326-1713 


PRINCIPAL  COUNSEL  FOR  OTHER  PARTIES: 


David  P.  Cleek 
McQueen  Harmon  Potter 

&  Cleek 
P.O.  Box  1831 
Charleston.  WV  25327-1831 
(304)  342-4200 


Richard  L   Earles 
Shuman,  Annand  &  Poe 
P.O.  Box  3953 
Charleston,  WV  25339-3953 
(304)345-1400 


Daniel  R.  Schuda 

Steptoe  &  Johnson 

P.O.  Box  1588 

Charleston.  WV  25326-1588 

(304)  353-8000 


Guy  R.  Bucci 

Bucci  Law  Offices 

P.O   Box  3712 

Charleston,  WV   25337-3712 

(304)  345-0346 


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Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 

Timothy  N.  Barber  David  J.  Cecil 

Barber  &  Ratliff  Armada  &  Cecil 

212  Hale  Street  3972  Teays  Valley  Road 

Charleston,  WV  25301  Hurricane.  WV   25526 

(304)343-7676  (304)757-2691 

Arthur  M.  Standish 
Steptoe  &  Johnson 
P.O.  Box  1588 
Charleston,  WV  25326-1588 
(304)  353-8000 

CAPSULE  SUMMARY: 

This  group  of  cases,  known  as  the  Highway  Patronage  cases,  involved  a  series  of 
nine  separate  federal  civil  actions  against  the  Governor  of  West  Virginia,  John  D. 
Rockefeller  IV,  and  various  officials  of  the  West  Virginia  Department  of  Highways.  These 
cases,  with  approximately  seventy  individual  plaintiffs,  were  assigned  to  four  federal 
district  judges  (Judges  Robert  E.  Maxwell,  John  T.  Copenhaver.  Jr.,  Charles  H.  Haden  II, 
and  Robert  J.  Staker)  in  the  southern  and  northern  districts  of  West  Virginia.  The 
Highway  Patronage  cases  continued  from  1982  until  1986,  when  the  lead  case,  Bever  v. 
Gum,  et  al..  was  tried  before  a  jury  and  Judge  Copenhaver  in  Charleston. 

We  represented  Governor  Rockefeller  in  all  these  cases,  which  were  instituted  and 
pursued  as  civil  rights  actions.  The  complaints  asserted  improper  terminations  of  public 
employment  of  various  Highway  Department  employees  (the  plaintiffs)  based  on  political 
considerations.  Extensive  pre-trial  proceedings  were  conducted,  including  discovery  on 
statistical  issues  relating  to  the  Department  of  Highways  work  force,  litigation  on  major 
issues  of  immunity,  and  the  recusal  of  Judge  Haden  by  Governor  Rockefeller. 

After  six  weeks  of  trial  in  the  Bever  case  in  April  and  May  of  1986, 
Judge  Copenhaver  directed  a  verdict  in  favor  of  Governor  Rockefeller,  and  dismissed  the 
complaint  as  to  Governor  Rockefeller  with  prejudice.  This  trial  featured  numerous 
witnesses  on  political  issues  relating  to  the  state  government  of  West  Virginia  and  involved 
a  battle  of  experts  on  statistical  analyses  of  political  affiliations  and  related  factors 
concerning  West  Virginia  highway  workers. 


40 


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Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


Governor  Rockefeller  considered  these  suits  to  be  entirely  baseless,  and  we 
consistently  declined  to  discuss  or  participate  in  any  settlement  discussions  with  respect  to 
them.  Following  the  directed  verdict  in  Bever.  all  the  other  complaints  against  Governor 
Rockefeller  in  the  highway  patronage  cases  were  dismissed  with  prejudice. 

During  the  course  of  this  litigation,  certain  important  issues  concerning  appellate 
jurisdiction  and  qualified  immunity  were  appealed  to  the  Fourth  Circuit  Court  of  Appeals 
and  to  the  Supreme  Court  of  the  United  States.  Those  decisions  are  reported  as  Bever  v. 
Gilbertson.  724  F.2d  1083  (4th  Cir.  1984),  cerL  denied  469  U.S.  948  (1984)  (which  I 
argued  personally  on  behalf  of  Governor  Rockefeller),  and  England  v.  Rockefeller.  739 
F.2d  140  (4th  Cir.  1984)  (argued  on  behalf  of  Governor  Rockefeller  by  Rebecca  A.  Betts). 


State  ex  rel.  Starr  v.  Halbritter   395  SB. 2d  773  (W.  Va.  1990) 

COURT:  Supreme  Court  of  Appeals  of  West  Virginia 

Writ  of  Prohibition  to  the  Circuit  Court  of  Logan  County 
Special  Judge  Robert  C.  Halbritter  (No.  19649) 


PRESIDING 
JUSTICES: 


Thomas  E.  McHugh 
Margaret  L.  Workman 
William  E.  Brotherton 
Richard  Neely 
Thomas  B.  Miller 


ROLE:  Counsel  for  Petitioners  (Defendants) 

CO-COUNSEL: 


Robert  B.  Allen 

King  Allen  Guthrie  &  McHugh 

P.O.  Box  3394 

Charleston,  WV  25333-3394 

(304)  345-7250 


Jeffery  M.  Wakefield 
Flaherty  Sensabaugh  &  Bonasso 
P.O.  Box  3843 
Charleston,  WV   25338 
(304)  345-0200 


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Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 

PRIMARY  COUNSEL  FOR  OTHER  PARTIES: 

Donald  C.  Wandling  Joanna  I.  Tabit 

Avis  Witten  &  Wandling  Steptoe  &  Johnson 

111  Stratton  Street  P.O.  Box  1588 

Logan,  WV  25601  Charleston,  WV   25326-1588 

(304)  752-2838  (304)  353-8000 

CAPSULE  SUMMARY: 

In  1989,  several  men  were  jointly  indicted  in  Logan  County,  West  Virginia  on 
charges  of  attempted  murder.  These  charges  emanated  from  a  shooting  incident  at  a  coal 
mine  picket  line  in  a  labor  dispute.  We  represented  certain  of  the  defendants  in  challenges 
to  the  validity  of  the  charges  in  the  indictment.  Our  claim  was,  in  essence,  that  the 
indictment  was  obtained  in  violation  of  established  constitutional  principles,  in  that  the 
grand  jury  had  neither  deliberated  on  nor  voted  on  the  actual  indictment  being  pursued. 

After  being  unsuccessful  in  the  Circuit  Court,  we  instituted  a  pretrial  prohibition 
proceeding,  which  I  argued  on  behalf  of  all  petitioners,  in  the  Supreme  Court  of  Appeals 
of  West  Virginia.  A  writ  of  prohibition  was  awarded  by  the  Supreme  Court,  which  ruled 
the  grand  jury  procedures  to  be  unconstitutional  and  the  indictment  void.  State  ex  rel. 
Starr  v.  Halbritter.  395  S.E.2d  773  (W.  Va.  1990). 


State  of  West  Virginia  v.  Morgan  Stanley  &  Co.  Incorporated  et  al..  Civil  Action 
No.  89-C-3700 

COURTS:  Circuit  Court  of  Kanawha  County,  West  Virginia;  United  States 
District  Court,  Southern  District  of  West  Virginia;  Supreme  Court 
of  Appeals  of  West  Virginia 

See:      State    of    West    Virginia    v.    Morgan    Stanley    &    Co. 
Incorporated.  747  F.  Supp.  332  (S.D.W.  Va.  1990); 

Morgan  Stanley  &  Co.  Incorporated  v.  MacQueen.  416 
S.E.2d55(W.  Va.  1992); 


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Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 


State    of   West    Virginia    v.    Morgan    Stanley    &    Co. 
Incorporated   459  S.E.2d  906  (W.  Va.  1995). 

PRESIDING 

JUDGES:        Circuit  Judge  A.  Andrew  MacQueen  III 

United  States  District  Judge  John  T.  Copenhaver,  Jr 

Justices  of  the  Supreme  Court  of  Appeals 


ROLE: 


Trial  and  Appellate  Counsel  for  Morgan  Stanley  &  Co.  Incorporated 


RELEVANT  TIME  PERIOD: 


CO-COUNSEL: 


1991-1996       (jury  fial  from  March  30  to 
May  7,  1992) 


James  W.  B.  Benkard 

(212)450-4506 

Sharon  Katz 

(212)450-4551 

Davis  Polk  &  Wardwell 

450  Lexington  Avenue 

New  York,  NY   10017 


Rebecca  A.  Belts 

United  States  Attorney 

500  Quarrier  Street 

P.O.  Box  1713 

Charleston,  WV  25326-1713 

(304)  345-2200 


Michael  F.  Orman 

Nixon,  Hargrave,  Devans  &  Doyle 

P.O.  Box  1051 

Rochester,  NY   14603-1051 

(716)263-1000 

PRINCIPAL  COUNSEL  FOR  OTHER  PARTIES: 


Rudolph  L.  DiTrapano 
DiTrapano  Barrett  &  DiPiero 
604  Virginia  Street,  East 
Charleston,  WV  25301 
(304)  342-0133 


Mary  L  Wolff 

Wolff  Ardis 

6055  Primacy  Parkway 

Suite  360 

Memphis,  TN  38119-5776 

(901)  763-3336 


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Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


Joseph  R.  Goodwin 
United  States  District  Judge 
300  Virginia  Street.  East 
Charleston,  WV  25301 
(304)347-3192 

John  C.  Palmer  IV 
Robinson  &  McElwee 
P.O.  Box  1791 
Charleston.  WV  25326-1791 
(304)  344-5800 

Stephen  D.  Annand 
Shuman,  Annand  &  Poe 
P.O.  Box  3953 
Charleston.  WV  25339-3953 
(304)  345-1400 


Thomas  R.  Goodwin 
Goodwin  &  Goodwin 
1500  One  Valley  Square 
Charleston.  WV   25301 
(304)  346-7000 

Norman  Feu 

The  Goldman  Sachs  Group 

85  Broad  Street,  12th  Floor 

New  York,  NY    10004 

(212)902-0900 

John  R.  Hoblitzel 

Kay,  Casto,  Chaney,  Love  &  Wise 

P.O.  Box  2031 

Charleston,  WV   25327-2031 

(304)  345-8900 


CAPSULE  SUMMARY: 

Following  losses  by  the  Board  of  Investments  of  West  Virginia  in  1987  of  some  two 
to  three  hundred  million  dollars,  litigation  was  initiated  by  the  State  of  West  Virginia,  in 
1989,  in  the  Circuit  Court  of  Kanawha  County.  This  litigation  sought  recovery  of  those 
losses  by  casting  blame  upon  various  Wall  Street  investment  firms  which  had  engaged  in 
business  transactions  with  West  Virginia  We  represented  Salomon  Brothers  Inc.  (1989  - 
1991)  and  Morgan  Stanley  &  Co.  Incorporated  (1991  -  1996)  in  this  Investment  Fund 
Litigation. 

The  substantive  issues  in  this  case  related  to  authority  and  responsibility  of  the  West 
Virginia  Board  of  Investments,  and  its  employees,  for  various  1987  transactions  involving 
(a)  when-issued  government  securities,  (b)  reverse  repurchase  agreements,  and  (c)  put 
options.  In  its  Complaint,  West  Virginia  sued  Morgan  Stanley  and  others  for  actual  and 
punitive  damages  on  various  claims,  including  negligence,  violation  of  fiduciary  duties. 
securities  firaud,  constructive  fraud,  actual  fraud  and  strict  liability. 


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Response  of  Robert  Bnice  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 


By  the  Complaint,  the  State  essentially  asserted,  among  other  things,  that  Morgan 
Stanley  was  an  insurer,  or  a  guarantor,  of  all  transactions  between  Morgan  Stanley  and 
West  Virginia.  The  State  claimed  that  Morgan  Stanley  was  liable  to  the  State  for  any  and 
all  losses  resulting  from  the  State's  disposition  of  government  securities  for  sums  less  than 
the  State  had  paid  for  those  same  securities  Following  extensive  pre-trial  proceedings, 
a  five  week  jury  trial,  which  began  on  March  30,  1992  and  ended  on  May  8,  1992,  was 
conducted  before  Circuit  Judge  A.  Andrew  MacQueen  in  Charleston. 

One  of  the  significant  pre-trial  issues  in  this  litigation  involved  a  prohibition 
proceeding  in  the  Supreme  Court  of  Appeals  of  West  Virginia,  which  I  argued  on  behalf 
of  Morgan  Stanley.  We  challenged  the  propriety  of  the  State's  counsel  in  their  improper 
representation  of  witnesses  in  the  case,  and  we  were  successful.  Morgan  Stanley  &  Co. 
Incorporated  v.  MacQueen.  416  S.E.2d  55  (W.Va.  1992). 

In  the  1992  jury  trial,  in  which  I  was  associate  trial  counsel  for  Morgan  Stanley, 
the  State  pursued  claims  against  Morgan  Stanley  for  sums  in  excess  of  $100,000,000.  Our 
co-counsel  were  New  York  attorney  James  W.  B.  Benkard  and  his  colleagues  at  the  firm 
of  Davis  Polk  &  Wardwell.  A  bevy  of  experts  testified  for  each  side,  explaining  to  the 
West  Virginia  jury  the  various  securities  transaction  at  issue,  and  assisting  the  attorneys 
and  the  jury  in  understanding  how  West  Virginia  lost  so  much  money  in  transactions 
involving  United  States  government  securities.  1  presented  the  opening  statement  for 
Morgan  Stanley  in  this  trial,  and  I  also  argued  on  Morgan  Stanley's  behalf  in  the  closing 
arguments  presented  before  this  West  Virginia  jury. 

In  early  May  1992,  the  jury  found  in  favor  of  Morgan  Stanley  on  all  claims  of 
actual  fraud  and  punitive  damages.  However,  a  jury  verdict  of  approximately  4.9  million 
dollars  was  returned  against  Morgan  Stanley  on  a  claim  of  constructive  fraud,  which  was 
then  supplemented  by  a  summary  judgment  entered  by  Judge  MacQueen.  This  summary 
judgment  increased  the  judgment  against  Morgan  Stanley,  in  favor  of  the  State  of  West 
Virginia,  to  more  than  $60,000,000. 

This  judgment  was  appealed  to  the  Supreme  Court  of  Appeals  of  West  Virginia. 
where  I  argued  against  the  judgment  on  behalf  of  Morgan  Stanley  on  three  separate 
occasions.  The  judgment  was  ultimately  reversed  in  its  entirety,  and  the  case  was 
remanded  for  retrial  by  a  unanimous  opinion,  authored  by  Justice  Richard  Neely,  on  June 
5,  1995.  State  of  West  Virginia  v.  Morgan  Stanley  &  Co.  Incorporated.  459  S.E.Zd  906 
(W.  Va.  1995). 


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Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


In  1996,  following  an  unsuccessful  effort  to  recuse  Judge  MacQueen,  this  litigation 
was  settled  through  Mediation.  James  R.  Miller,  former  United  States  District  Judge  for 
the  District  of  Maryland,  served  as  Mediator.  Judge  Miller  is  located  at  Miller,  Miller  & 
Canby,  200-8  Monroe  Street,  Rockville,  Maryland. 


9.  Hanley  C.  Clark  v.  Milam  et  al.;  Civil  Action  No.  2:92-0935 

COURT:  United  States  District  Court,  Southern  District  of  West  Virginia; 

Supreme  Court  of  Appeals  of  West  Virginia 

PRESIDING 

JUDGE:  United  States  District  Judge  Charles  H.  Haden  II 

See:      891  F,  Supp.  268  (S.D  W   Va.  1995): 
872  F.  Supp.  307  (S.D.W.  Va.  1994); 
155  F.R.D.  546  (S.D.W.  Va.  1994); 
847  F.  Supp.  424  (S.D.W.  Va.  1994); 
847  F.  Supp.  409  (S.D.W.  Va.  1994); 
152  F.R.D.  66  (S.D.W.  Va.  1993); 
830  F.  Supp.  316  (S.D.W.  Va.  1993);  and 
813  F.  Supp.  431  (S.D  W.  Va.  1993). 

and 

452S.E.2d714(W.  Va.  1994). 

ROLE:  Counsel  for  defendants  John  J.  McAvoy  and  Carolyn  B.  Lamm 

RELEVANT  TIME  PERIOD:  1992-1995       (Litigation    settled     through 

Mediation) 


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Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


CO-COUNSEL: 


Paul  J.  Bschorr 

Dewey  Ballantine 

1301  Avenue  of  the  Americas 

New  York,  NY   10019-6092 

(212)  259-8000 

Rebecca  A.  Betts 

United  States  Attorney 

500  Quarrier  Street 

P.O.  Box  1713 

Charleston,  WV  25326-1713 

(304)  345-2200 


Christopher  M   Curran 
White  &  Case 

601  Thirteenth  Street.  N.W. 
Washington,  DC   20005-3807 
(202)  626-3600 

Stephanie  D.  Thacker 

Assistant  United  States  Attorney 

500  Quarrier  Street 

P.O   Box  1713 

Charleston,  WV   25326-1713 

(304)  345-2200 


PRINCIPAL  COUNSEL  FOR  OTHER  PARTIES: 


Joseph  R.  Goodwin 
United  States  District  Judge 
300  Virginia  Street,  East 
Charleston,  WV  25301 
(304)347-3192 


Stephen  M   Sacks 
Arnold  &  Porter 
Thurman  Arnold  Building 
555  Twelfth  Street,  N.W. 
Washington,  DC  20004-1202 
(202)  942-5000 


Alan  F.  Curley 

Robinson,  Curley  &  Clayton 

300  South  Wacker  Drive 

Suite  1700 

Chicago,  IL  60606 

(312)663-3100 


Rudolph  L.  DiTrapano 
DiTrapano  Barrett  &  DiPiero 
604  Virginia  Street,  East 
Charleston,  WV  25301 
(304)342-0133 


Cynthia  H.  Hyndman 
Robinson,  Curley  &  Clayton 
300  South  Wacker  Drive 
Suite  1700 
Chicago,  IL  60606 
(312)663-3100 


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Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


CAPSULE  SUMMARY: 


This  civil  ligation  involved  professional  malpractice  claims  against  two  attorneys 
of  the  firm  of  White  &  Case,  who  we  represented.  The  claims  arose  from  the  insolvency 
of  George  Washington  Life  Insurance  Company,  a  West  Virginia  domestic  insurance 
company . 

The  Insurance  Commissioner  of  West  Virginia.  Hanley  Clark,  acting  as  Receiver 
for  George  Washington  Life  Insurance  Company  (GWLIC),  initiated  litigation  against  its 
corporate  officers,  directors,  and  also  against  its  outside  accountants.  Coopers  &  Lybrand, 
and  its  attorneys,  including  those  at  White  &  Case.  Mr.  Clark  claimed  that  my  clients 
were  involved  in  conflict  of  interest  situations  in  their  representation  of  GWLIC,  and  that 
they  had  acted  to  the  prejudice  of  their  client.  This  litigation  was  exceptionally  complex, 
involving  major  issues  relating  to  the  liability  of  corporate  officials  and  to  the  professional 
liability  of  outside  accountants  and  attorneys.  With  particular  regard  to  my  clients,  this 
civil  action  involved  extensive  briefing  and  argument  on  issues  relating  to  professional 
ethics  and  malpractice. 

This  litigation  is  particularly  noteworthy  for  the  expert  witnesses  utilized  by  the 
parties  on  the  legal  ethics  issues.  Our  defense  experts  included  Professor  Geoffrey  C. 
Hazard,  the  preeminent  ethics  expert  in  the  United  States,  as  well  as  Professor  Forest  J. 
Bowman  of  West  Virginia  University.  The  plaintiffs  utilized  Professor  Charles  Wolfram 
of  Cornell  University. 

This  litigation  resulted  in  numerous  published  opinions  by  Chief  Judge  Haden,  as 
well  as  a  certified  question  appeal  which  I  argued  in  the  Supreme  Court  of  Appeals  of  West 
Virginia,  Clark  v.  Milam.  452  S.E.2d  714  (W.  Va.  1994).  We  lost  this  appeal,  which 
considered  issues  not  before  dealt  with  in  West  Virginia,  relating  to  the  "adverse 
domination"  theory  of  director  and  officer  liability. 

As  a  result  of  mediation  efforts,  this  case  was  settled,  prior  to  trial,  in  early  1995. 
Bennett  Picker  of  Philadelphia,  Pennsylvania  served  as  Mediator.  Mr.  Picker  is  now  a 
partner  at  Stradley,  Ronon,  Stevens  &  Young,  2600  One  Commerce  Square.  Philadelphia, 
Pennsylvania. 


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Response  of  Robert  Bruce  King  lo 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


10.       McGraw  v.  The  American  Tobacco  Company:  et  al.:  Civil  Action  No.  94-C-1707, 
Appeal  No.  24900  (Supreme  Court  of  Appeals  of  West  Virginia) 

COURTS:        Circuit  Court  of  Kanawha  County;  Supreme  Court  of  Appeals  of 
West  Virginia 

PRESIDING 

JUDGE:  Circuit  Judge  Irene  C.  Berger 

ROLE:  Counsel    for    Philip    Morris    Incorporated    and    Philip    Morris 

Companies  Inc. 

RELEVANT  TIME  PERIOD:  1994-present  (ongoing  litigation) 

CO-COUNSEL: 


Murray  R.  Garnick 

Leslie  Wharton 

Arnold  &  Porter 

555  Twelfth.  Street,  N.W. 

Washington,  DC  20004-1202 

(202)  942-5000 


Pamela  L.  Kandzari 

Michelle  M.  Price 

King  Allen  Guthrie  &  McHugh 

P.O.  Box  3394 

Charleston,  WV  25333-3394 

(304)  345-7250 


PRINCIPAL  COUNSEL  FOR  OTHER  PARTIES: 


Richard  E.  Rowe 
Goodwin  &  Goodwin 
1500  One  Valley  Square 
Charleston.  WV  25301 
(304)  346-7000 

R.  Gregory  McNeer 

Campbell  Woods  Bagley  Emerson 

McNeer  &  Herndon 
P.O.  Box  1835 

Huntington,  WV  25719-1835 
(304)  529-2391 


Henry  Oechler,  Jr. 
Chadbourne  &  Parke 
30  Rockefeller  Plaza 
New  York,  NY   10112 
(212)408-5100 

P.   Michael  Pleska 

Bowles  Rice  McDavid  Graff 

&  Love 
P.O.  Box  1386 
Charleston,  WV   25325-1386 
(304)347-1100 


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Response  of  Roben  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 


Robert  F.  McDermott,  Jr. 

Donald  B.  Ayer 

Jones  Day  Reavis  &  Pogue 

Metiopolitan  Square 

1450  G  Street,  N.W.,  Suite  700 

Washington,  DC  20005-2088 

(202)  879-3939 


Anne  Berry  Howe 
Davis  Polk  &  Wardwell 
450  Lexington  Avenue 
New  York,   NY    10017 
(212)  450-4000 


Andrew  B.  Cooke 

Flaherty,  Sensabaugh  &  Bonasso 

P.O.  Box  3843 

Charleston,  WV  25338-3842 

(304)  345-0200 


W.  Henry  Jernigan 
Gretchen  M.  Calias 
Jackson  &  Kelly 
P.O.  Box  553 

Charleston,  WV  25322-0553 
(304)  340-1000 


Richard  A.  Schneider 
King  &  Spalding 
2500  Trust  Co.  Tower 
191  Peachtree  Street,  N.E. 
Atlanta,  GA  30303 
(404)  572-4600 


John  H   Tinney 

Spilman,  Thomas  &  Battle 

P.O.  Box  273 

Charleston,  WV   25321-0273 

(304)  340-3800 


Michael  J.  Farrell 

Farrell,  Farrell  &  Farrell,  LC 

P.O.  Box  6457 

Huntington,  WV  25772-6457 

(304)  522-9100 


William  J.  Crampton 

Gene  E   Voigts 

Shook.  Hardy  &  Bacon.  LLP 

One  Kansas  City  Place 

1200  Main  Street 

Kansas  City,  MO  64105 

(816)474-6550 


Edgar  A.  Poe,  Jr. 
Shuman  Annand  &  Poe 
P.O.  Box  3953 
Charleston,  WV  25339-3953 
(304)  345-1400 


James  M.  Brown 
Jane  E.  Harkins 
Brown  &  Levicoff 
P.O.  Box  M 
Beckley,  WV   25802 
(304)  253-3700 


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Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


Robert  V.  Berthold,  Jr. 
Berthold,  Tiano  &  O'Dell 
208  Capitol  Street 
Charleston,  WV  25301 
(304)  345-5700 

Herschel  H.  Rose  III 
Rose  &  Atkinson 
P.O.  Box  549 

Charleston,  WV  25322-0549 
(304)  346-5100 


Shawn  P.  George 
George  &  Lorensen 
1526  Kanawha  Blvd.,  East 
Charleston,  WV   25311 
(304)  343-5555 

Deborah  McHenry 

Counsel  to  the  Supreme  Court 

of  Appeals 
Capitol  Complex 
Building  1,  Room  E-317 
Charleston,  WV  25305-0831 
(304)  558-2601 


Darrell  V.  McGraw,  Jr. 
Attorney  General  of  West  Virginia 
State  Capitol 
Charleston.  WV  25305 
(304)  558-2021 


Victor  S.  Woods 
Assistant  Attorney  General 

of  West  Virginia 
State  Capitol 
Charleston,  WV  25305 
(304)  558-2021 


CAPSULE  SUMMARY: 

In  the  fall  of  1994,  the  Attorney  General  of  West  Virginia,  Darrell  V.  McGraw, 
Jr.,  initiated  litigation  against  various  tobacco  companies  in  the  Circuit  Court  of  Kanawha 
County,  seeking  recovery  of  alleged  losses  to  the  West  Virginia  Medicaid  program  from 
tobacco  usage  by  citizens  of  West  Virginia.  This  litigation  is  presently  on  appeal  in  the 
Supreme  Court  of  Appeals  of  West  Virginia  from  an  interlocutory  dismissal  Order  of 
Circuit  Judge  Irene  C.  Berger,  entered  in  March  of  1997,  dismissing  eleven  of  the  fourteen 
counts  of  West  Virginia's  Third  Amended  Complaint. 

We  have  served  as  West  Virginia  counsel  for  Philip  Morris  in  these  proceedings, 
and  I  have  argued  several  motions  before  Judge  Berger  on  behalf  of  the  defendants.  The 
most  important  of  these  motions  was  our  successful  challenge  to  the  authority  of  the 
Attorney  General  to  pursue  common-law  claims  against  the  defendants.  I  argued  this 
motion  to  dismiss,  premised  on  the  principle  of  Manchin  v.  Browning  296  S.E.2d  909 
(W.  Va.  1982),  and  its  progeny,  in  May  of  1995. 


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Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  Sutes  Senate 
(Public) 
July  3,  1998 


By  Order  of  June  6,  1995,  Judge  Berger  ruled  that  the  Attorney  General  lacked  any 
authority  to  assert  common-law  claims  in  this  litigation  and  granted  our  motion  to  dismiss 
on  this  issue.  An  appeal  was  then  certified  by  Judge  Berger,  pursuant  to  Rule  54(c),  but 
was  not  perfected  by  the  Attorney  General  Judge  Berger's  ruling  has  therefore  not  been 
reviewed  by  our  Supreme  Court. 

This  litigation  is  ongoing,  both  in  the  Supreme  Court  of  Appeals  of  West  Virginia 
and  in  the  Circuit  Court  of  Kanawha  County  By  agreement  of  the  parties,  the  Circuit 
Court  proceedings  have  been  stayed  pending  disposition  of  the  State's  appeal  of  Judge 
Berger's  dismissal  Order  of  March  1997. 


19.  Legal  Activities:  Describe  the  most  significant  legal  activities  you  have  pursued,  including 
significant  litigation  vi^hich  did  not  progress  to  trial  or  legal  matters  that  did  not  involve 
litigation.  Describe  the  nature  of  your  participation  in  this  question,  please  omit  any 
information  protected  by  the  attorney-client  privilege  (unless  the  privilege  has  been  waived). 

a.         Counsel  to  the  Committee  on  Legal  Ethics  of  The  West  Virginia  State  Bar  — 
1976  -1977 

During  the  period  from  early  1976  until  the  summer  of  1977,  while  in 
private  practice  in  Charleston,  I  served  as  counsel  to  the  Committee  on  Legal 
Ethics  of  The  West  Virginia  State  Bar.  In  such  capacity,  I  worked  closely  with  the 
Committee  Chairman,  attorney  John  O.  Kizer  of  Kay,  Casto.  Chaney,  Love  & 
Wise  in  Charleston,  in  handling  the  business  of  the  Committee  with  respect  to 
attorney  discipline  in  West  Virginia. 

My  work  for  the  Committee  included  evaluation  of  complaints,  advice  on 
decisions  to  prefer  charges  or  dismiss  complaints,  investigations  of  charges  and 
complaints,  preparation  for  and  handling  of  evidentiary  hearings,  filing  complaints 
and  charges  in  the  Supreme  Court  of  Appeals  of  West  Virginia,  and  representation 
of  the  Committee  in  the  Supreme  Court. 

Some  reported  decisions  on  complaints  litigated  include: 

Committee  on  Legal  Ethics  v.  Mullins.  226  S.E.2d  427  (W.  Va. 
1976); 


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Response  of  Roben  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


Committee  on  Legal  Ethics  v.  Daniel.  235  S.E.Zd  369  (W.  Va. 
1977);  and 

Committee  on  Legal  Ethics  v.  Pence.  240  S.E.2d  668  (W.  Va. 
1977). 

b.  The  West  Virginia  State  Bar  —  1981-1987 

During  the  period  from  1981  through  1987,  I  served  in  two  significant 
capacities  with  The  West  Virginia  State  Bar.  First,  I  was  a  member  of  the  State 
Bar's  Board  of  Governors  during  1981-1984,  Second,  I  served  as  a  member  of  the 
State  Bar's  Committee  on  Legal  Ethics  from  1984  through  1987.  Fellow  members 
of  the  Board  of  Governors  included  Dan  O.  Callaghan,  John  E.  Busch  and  David 
Burton.  Fellow  members  of  the  Committee  on  Legal  Ethics  included  Arthur  M. 
Recht,  Howard  M.  Persinger,  Jr   and  Forest  J.  Bowman. 

During  1986-87,  I  served  as  Vice-Chair  of  the  Ethics  Committee,  and  as 
Chair  of  its  Investigative  Panel.  As  such,  I  supervised  the  review,  investigation 
and  handling  of  all  complaints  lodged  with  the  Committee.  The  Investigative  Panel 
then  took  appropriate  actions  such  as  dismissal,  filing  of  formal  charges,  or  some 
related  disposition,  with  respect  to  each  complaint. 

c.  Judicial  Investigation  Commission  of  West  -Virginia  —  1990-1994 

Beginning  in  1990,  I  served  four  years  as  one  of  two  attorney  members  of 
the  Judicial  Investigation  Commission  of  West  Virginia.  This  Commission  acted 
as  the  investigative  body  handling  complaints  involving  members  of  the  West 
Virginia  judiciary,  and  also  provided  advice  and  opinions  to  judges  on  issues 
arising  under  the  Code  of  Judicial  Conduct. 

During  my  service  on  the  Commission,  counsel  for  the  Commission  was 
Charles  "Skip"  Garten  of  Charleston.  Chairmen  of  the  Commission  included 
former  Circuit  Judge  Jack  Stevens  of  Hamlin,  West  Virginia  and  Circuit  Judge 
Fred  L.  Fox  II  of  Fairmont,  West  Virginia. 


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Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


Mediation  Activities 


Since  1996,  I  have  served  as  court-appointed  Mediator  in  major 
environmental  litigation  in  the  Hancock  County.  West  Virginia  Circuit  Court  (the 
"National  Steel/CNA  Mediation").  I  was  sought  out  and  selected  as  Mediator  by 
the  parties  and  their  counsel,  with  my  selection  being  approved  by  Circuit  Judge 
Ronald  E.  Wilson  of  New  Cumberland,  West  Virginia. 

In  the  underlying  litigation.  National  Steel  Company  is  the  primary  plaintiff, 
and  has  sued  approximately  twenty  major  insurance  companies  This  litigation 
relates  to  insurance  coverage  disputes  with  respect  to  approximately  forty-eight 
facilities  of  National  Steel  and  its  related  companies  in  sixteen  states.  Related 
litigation  was  initiated  in  state  court  m  Delaware,  and  the  Delaware  Court  referred 
its  litigation  to  the  West  Virginia  Mediation. 

The  National  Steel/CNA  Mediation  was  protracted  and  difficult.  It  also  was 
very  successful,  as  all  disputes  have  been  resolved. 

PRINCIPAL  COUNSEL  ARE  IDENTIFIED  BELOW: 


Ronald  J.  Werhnyak 
Senior  Counsel 
National  Steel  Corporation 
4100  Edison  Lakes  Parkway 
Mishawaka,  IN  46545-3440 
(219)  273-7601 


Carl  N   Frankovitch 
Frankovitch  &  Anetakis 
337  Penco  Road 
Weirton,  WV  26062 
(304)  723-4400 


David  B.  Hird 

(202)682-7175 

Adam  P.  Strochak 

(202)  682-7001 

Weil.  Gotshal  &  Manges 

1615  L  Street,  N.W.,  Suite  700 

Washington,  DC  20036 


Lee  A.  Rosengard 
(215)564-8032 
Stephen  C.  Baker 
(215)  564-8069 
Stradley,  Ronon,  Stevens 

&Young 
2600  One  Commerce  Square 
Philadelphia,  PA  19103-7098 


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Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


Scott  L   Winkleman 

Crowell  &  Moring 

1001  Pennsylvania  Avenue.  N.W. 

Washington,  DC  20004-2595 

(202)  624-2500 


Martin  R.  Baach 
Baach  Robinson  &  Lewis 
One  Thomas  Circle,  N.W. 
Washington,  DC  20005-5802 
(202) 833-8900 


Michele  Grinberg 
Flaherty,  Sensabaugh 

&  Bonasso 
P.O.  Box  3843 
Charleston,  WV  25338-3834 
(304)  345-0200 


Robert  B.  Baker 

Caron,  McCormick,  Gordon 

&  Constants 
30  North  LaSalle  Street 
Chicago,  IL  60602 
(312)629-2000 


Robert  F.  Walsh 
Melito  &  Adolfsen 
233  Broadway,  28th  Floor 
New  York,  NY  10279 
(212)238-8900 


Brian  J.  Coyle 

Cozen  &  O'Connor 

One  Newark  Center,  Suite  1900 

Newark,  NJ  07102 

(201)286-1270 


James  J.  Jennings 

Rivkin,  Radler  &  Kremer 

EAB  Plaza 

Uniondale,  NY  11556-0111 

(516)357-3000 


Jo  Ann  Burk 

Cuyler  Burk 

Parsippany  Corporate  Center 

4  Century  Drive 

Parsippany,  NJ  07054-4664 

(201)734-3200 


Scott  M.  Seaman 
Bates  Meckler  Bulger 

&  Tilson 
8200  Sears  Tower 
233  Wacker 
Chicago,  IL  60606 
(312)474-7900 


James  M.  Dennis 
Sheft,  Golub  &  Kamlet 
909  Third  Avenue 
New  York,  NY  10022 
(212)688-7788 


I  have  a  continuing  interest  in  alternative  dispute  resolution  processes  and 
issues,  and  recently  completed  formal  Mediation  Training  at  Duke  University 
(February  1998). 


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Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 

e.  College  of  Law.  West  Virginia  University 

I  presently  serve  on  the  Visiting  Committee  of  the  College  of  Law  of  West 
Virginia  University.  I  have  a  deep  and  abiding  loyalty  to  West  Virginia  University, 
and  have  always  supported  the  University  and  its  College  of  Law 

The  Chair  of  the  Visiting  Committee  is  Judge  Joseph  Robert  Goodwin, 
Charleston,  West  Virginia.   The  Dean  of  the  College  of  Law  is  John  B.  Fisher. 


IL   FINANCIAL  DATA  AND  CONFLICT  OF  INTEREST  (PUBLIC) 


1 .  List  sources,  amounts  and  dates  of  all  anticipated  receipts  from  deferred  income  arrangements, 

stock,  options,  uncompleted  contracts  and  other  future  benefits  which  you  expect  to  derive  from 
previous  business  relationships,  professional  services,  firm  memberships,  former  employers,  clients, 
or  customers.  Please  describe  the  arrangements  you  have  made  to  be  compensated  in  the  future  for 
any  financial  or  business  interest. 

I  expect  no  income  from  deferred  income  arrangements,  stock  options,  uncompleted 
contracts  or  any  other  future  benefits  from  previous  business  relationships,  professional 
services,  firm  memberships,  former  employees,  clients  or  customers 

Our  law  firm.  King  Allen  Guthrie  &  McHugh,  has  a  buy-out  provision  for  a 
withdrawing  partner.  Pursuant  thereto,  the  withdrawing  partner  is  compensated  by 
payment  of  a  fixed  sum,  plus  his  or  her  capital  account,  plus  his  or  her  share  of  the  firm's 
net  income  to  the  date  of  withdrawal.  The  fixed  sum  is  calculated  on  the  basis  of  the 
withdrawing  partner's  units  of  participation  (percentage)  for  a  period  of  tiie  firm's  expected 
net  income,  based  on  the  firm's  Annual  Budget. 

As  of  the  end  of  1997,  the  value  of  my  capital  account  at  the  firm  was 
approximately  $61 ,000.  Based  upon  my  1998  percentage  ownership  of  the  firm,  the  value 
of  the  buy-out  provision  is  approximately  $33,000.  Upon  my  departure  from  the  firm,  I 
would  receive  payment  of  that  sum,  plus  payment  of  my  capital  account,  plus  payment  of 
my  share  of  the  firm's  1998  net  income  to  the  date  of  withdrawal. 


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Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 


Explain  how  you  will  resolve  any  potential  contlict  of  Interest,  Including  the  procedure  you  will 
follow  In  determining  these  areas  of  concern.  Identify  the  categories  of  litigation  and  financial 
arrangements  that  are  likely  to  present  potential  conflicts-of-lnterest  during  your  initial  service 
in  the  position  to  which  you  have  been  nominated. 

All  potential  conflicts  of  interest  will  be  fully  identified.  Appropriate  recusal  steps 
will  be  taken  in  accordance  with  the  Code  of  Judicial  Conduct  and  any  applicable  rules, 
statutes  or  opinions. 

In  particular,  all  ongoing  clients  of  our  law  firm  will  pose  potential  conflict  issues 
in  the  event  matters  involved  in  our  representations  should  come  before  the  Court.  Other 
matters,  such  as  stockholder  status  in  public  companies  and  representation  of  parties  by 
former  law  partners,  must  be  carefully  monitored  to  identify  potential  conflicts  and  issues 
of  inappropriate  appearance.  All  applicable  provisions  of  the  Code  of  Judicial  Conduct 
will  be  adhered  to,  and  the  provisions  of  28  U.S.  C.  §  455  and  any  related  statutory  and 
ethical  rules  and  regulations  will  be  complied  with. 


Do  you  have  any  plans,  commitments,  or  agreements  to  pursue  outside  employment,  with  or 
without  compensation,  during  your  service  with  the  court?  if  so,  explain. 

No. 


List  sources  and  amounts  of  all  income  received  during  the  calendar  year  preceding  your 
nomination  and  for  the  current  calendar  year,  including  all  salaries,  fees,  dividends,  interest, 
gifts,  rents,  royalties,  patents,  honoraria,  and  other  items  exceeding  $500  or  more  (If  you  prefer 
to  do  so,  copies  of  the  financial  disclosure  report,  requireo  by  the  Ethics  m  Government  Act 
of  1978,  may  be  substituted  here.) 

See  attached  Financial  Disclosure  Report.   Senate  Response  (Public)  Exhibit  20. 


5.  Please  complete  the  attached  financial  net  worth  statement  In  detail  (Add  schedules  as  called 

for). 

The  Financial  Statements  of  Robert  Bruce  King,  Julia  D.  King  (spouse),  Robert 
Bruce  King,  Jr.  (son)  and  William  Bryan  King  11  (son)  are  submitted  herewith  as  Senate 
Response  (Public)  Exhibits  21-A,  21-B.  21-C  and  21-D. 


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Response  of  Robert  Bnice  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 


Have  you  held  a  position  or  played  a  role  in  a  political  campaign?  If  so,  please  identify  the 
particulars  of  the  campaign,  including  the  candidate,  dates  of  the  campaign,  your  title  and 
responsibilities. 

a.  In  1976  and  1988,  I  was  a  candidate  for  Delegate  to  the  Democratic 
National  Convention.  I  was  defeated  on  both  occasions.   No  expenditures. 

b.  I  have  served  as  Counsel  to  certain  political  committees; 

(1)  1981  -  1982  -  Counsel.  Friends  of  Senator  Robert  C.  Byrd 

(2)  1983  -  1984  -  Counsel,  Committee  to  Elect  Senator  Rockefeller 

(3)  1983  -  1984  -  Counsel  to  the  West  Virginia  Democratic  Party 

I  served  as  Counsel  to  the  West  Virginia  Democratic  Party  during  the  tenure 
of  State  Chair  Joseph  Robert  Goodwin.  In  the  spring  of  1984,  1  initiated  an 
injunction  proceeding  in  the  Circuit  Court  of  Kanawha  County  on  behalf  of  the 
State  Party  in  connection  with  the  national  convention  delegate  selection 
procedures.  This  litigation  (Civil  Action  No.  84-C-1493)  was  brought  against 
West  Virginia  Secretary  of  State  A.  James  Manchin,  and  was  heard  by  then  Circuit 
Judge  Robert  K.  Smith.  On  April  5,  1984,  an  Injunction  Order  was  entered  against 
Secretary  Manchin  on  behalf  of  the  Democratic  Party  of  West  Virginia. 

c.  In  1982, 1  served  as  Finance  Chairman  for  the  John  Slack  for  State  Senate 
Committee. 


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Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 


III.   GENERAL  (PUBLIC) 


An  ethical  consideration  under  Canon  2  of  the  American  Bar  Association's  Code  of 
Professional  Responsibility  calls  for  "every  lawyer,  regardless  of  professional  prominence  or 
professional  workload,  to  find  some  time  to  participate  in  serving  the  disadvantaged."  Describe 
what  you  have  done  to  fulfill  these  responsibilities,  listing  specific  instances  and  the  amount 
of  time  devoted  to  each. 

Over  the  years,  my  firm  and  I  have  devoted  substantial  time  and  effort  to  pro  bono 
legal  services,  particularly  in  instances  where  our  background  and  experience  have 
rendered  our  legal  services  worthwhile.  For  example,  in  1970,  while  practicing  law  with 
a  small  firm  in  rural  Greenbrier  County,  1  represented  Carolyn  Acton,  a  female  federal 
prisoner  at  the  Federal  Reformatory  for  Women,  in  Alderson,  West  Virginia.  Ms.  Acton 
was  involved  in  a  dispute  with  the  State  of  West  Virginia  and  private  foster  parents 
concerning  permanent  custody  of  Ms.  Acton's  infant  daughter,  who  had  been  born  in  the 
Alderson  prison.  I  litigated  this  dispute  for  Ms.  Acton,  on  a  pro  bono  basis,  through  the 
Supreme  Court  of  Appeals  of  West  Virginia.  In  State  ex  rel.  Acton  v.  Flowers.  174 
S.E.2d  742  (W.  Va.  1970),  the  Supreme  Court  ruled  that  Ms.  Acton  was  lawfully  entitled 
to  permanent  custody  of  her  daughter. 

In  addition,  over  the  years  I  have  represented,  on  a  pro  bono  basis,  several  besieged 
lawyers  -  members  of  The  West  Virginia  State  Bar  -  in  matters  relating  to  issues  of 
professional  discipline.  By  way  of  example,  I  represented  the  now  deceased  Wyoming 
County  Prosecuting  Attorney,  Paul  R.  Goode,  in  the  late  1980s  and  early  1990s  on  federal 
tax  charges  and  in  various  professional  discipline  proceedings.  At  that  time,  Mr.  Goode 
was  suffering  serious  health  problems  and  financial  difficulties,  and  my  representation  of 
him,  involving  hundreds  of  hours  of  legal  work,  was  entirely  on  a  pro  bono  basis.  These 
services  included  various  protracted  ethics  proceedings  and  a  criminal  jury  trial  before 
federal  Judge  Elizabeth  V.  Hallanan  in  Beckley. 

As  another  example  of  pro  bono  service,  in  1985  I  represented  Circuit  Judge  Elmer 
Strickler  of  Nicholas  County,  West  Virginia,  in  connection  with  attacks  made  upon  him 
by  attorney  Michael  Farber.  This  representation  included  argument  on  behalf  of  Judge 
Strickler  in  the  Supreme  Court  of  Appeals  of  West  Virginia.  Farber  v.  Strickler.  332 
S.E.2d  629  (W.  Va.  1985).  see  alsQ  Committee  on  Legal  Ethics  v.  Farber.  408  S.E.2d  274 
(W.  Va.  1991). 


59 


Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 

Our  firm  presently  represents,  on  a  pro  bono  basis.  The  West  Virginia  State  Bar 
and  its  Committee  on  Unlawful  Practice  in  federal  court  litigation  initiated  by  Allstate 
Insurance  Company  against  the  State  Bar  and  the  Committee  (Civil  Action  No.  2:97-1056. 
(S.D.  W.  Va.).  I  have  handled  this  litigation  personally,  primarily  assisted  by  my  partner 
Pamela  L.  Kandzari.  On  March  28,  1998.  at  the  State  Bar's  1998  Annual  Meeting, 
Ms.  Kandzari  and  I  were  each  awarded  a  Certificate  of  Merit  by  the  State  Bar  for  our  pro 
bono  legal  work  on  its  behalf  in  this  litigation. 

The  Allstate  Complaint  was  dismissed  by  Chief  Judge  Haden  on  March  20,  1998 
(1998  WL  139519),  on  the  basis  of  the  Motion  to  Dismiss  and  supporting  memoranda 
submitted  by  us.  An  appeal  is  presently  pending  by  Allstate  in  the  Fourth  Circuit  Court 
of  Appeals  (Appeal  No.  98-1537). 

Furthermore,  throughout  my  legal  career,  I  have  always  readily  accepted  court 
appointments,  in  both  the  state  and  federal  courts,  to  defend  and  represent  indigent 
criminal  defendants.  In  addition,  our  law  firm  has  also  always  encouraged  acceptance  of 
such  appointments  by  its  members  and  associates,  and  we  continue  to  do  so.  The  firm  also 
accepts  other  pro  bono  matters  and  supports  legal  aid  efforts. 


The  American  Bar  Association's  Commentary  of  its  Code  of  Judicial  Conduct  states  that  it  is 
inappropriate  for  a  judge  to  hold  membership  in  any  organization  that  invidiously  discriminates 
on  the  basis  of  race,  sex,  or  religion.  Do  you  currently  belong,  or  have  you  belonged,  to  any 
organization  which  discriminates  -  through  either  formal  membership  requirements  or  the 
practical  implementation  of  membership  policies?  If  so,  list,  with  dates  of  membership.  What 
you  have  done  to  try  to  change  these  policies? 

I  do  not  belong  to  any  discriminatory  organizations.   Furthermore,  I  will  not  in  the 
future  hold  membership  in  any  such  organizations. 

The  following  is  provided  in  more  specific  response  to  this  inquiry: 

a.  Kappa  Alpha  (1958  -  61)  —  While  attending  undergraduate  school  at  West  Virginia 

University,  I  belonged  to  the  social  fraternity  Kappa  Alpha  Order  (670  North  High  Street. 
Morgantown,  West  Virginia).  This  fraternity  was  all-white  and  all-male.  1  have  not  been 
affiliated  with  Kappa  Alpha  since  1%1,  although  I  visited  the  fraternity  house  in 
Morgantown  a  few  times  in  the  early  1960s.  Since  Kappa  Alpha  was  a  sanctioned  entity 
on  the  campus  of  our  state  University,  it  could  not  maintain  discriminatory  membership 
policies.    There  were,  during  this  period,  primarily  for  historical  reasons,  very  few 

60 


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Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 

minority  students  in  attendance  at  West  Virginia  University.  1  made  no  effort  to  alter  its 
policies. 

b.  Mountain  (1966  -  present)  —  In  1966,  while  attending  law  school,  I  was  inducted 
into  Mountain  (West  Virginia  University,  Morgantown.  West  Virginia).  Mountain  was 
an  all-male  honorary,  and  is  characterized  as  the  Ranking  Honorary  at  West  Virginia 
University.  Since  my  law  school  graduation  in  1968,  I  have  attended  two  or  three 
meetings  of  Mountain  Alumni.  Mountain  now  includes  women  in  its  membership,  and  I 
understand  that  it  has  done  so  for  approximately  twenty  years.  I  made  no  effort  to  alter 
its  policies. 

c.  Berry  Hills  Country  Club  (1975  -  77;  1982  -  present)  —  I  have  been  a  member  of 
Berry  Hills  Country  Club  (#1  Berry  Hills  Drive,  Charleston,  West  Virginia)  during  two 
separate  periods.  First,  I  belonged  to  Berry  Hills  from  1975  until  1977,  when  I  resigned 
for  economic  and  family  reasons.  Second.  I  have  now  been  a  member  of  Berry  Hills  since 
1982.  I  understand  that  Berry  Hills  in  the  past  maintained  a  different  class  of  membership 
(associate,  nonvoting)  for  its  female  members.  It  also  restricted  golf  course  tee-times  for 
women  on  Saturday  and  holiday  mornings,  and  for  men  on  Tuesdays  of  each  week.  I  am 
advised  that  the  associate  (non-voting)  membership  classification  for  women  members  was 
abolished  in  1989,  and  that  all  tee-time  restrictions  were  abolished  three  or  four  years  ago. 
Berry  Hills  presently  has  several  members  who  are  members  of  minority  groups,  and  it  has 
no  other  membership  restrictions  on  the  bases  enumerated  in  this  inquiry.  I  have  never 
been  involved  in  any  aspect  of  management  or  the  development  of  policies  at  Berry  Hills, 
and  I  have  never  been  an  officer.  Board  member  or  committee  member  at  Berry  Hills.  1 
have,  on  several  occasions,  spoken  with  the  former  club  President,  as  well  as  with  the 
Membership  Committee  Chair  (both  of  whom  were  members  of  the  Board),  on  the  need 
to  recruit  minorities  into  the  membership,  and  on  the  necessity  of  assuring  open  and  non- 
discriminating policies  at  Berry  Hills. 

d.  Edgewood  Country  Club  (1981  -  82)  —  I  belonged  to  Edgewood  Country  Club 
(1600  Edgewood  Drive,  Charleston,  West  Virginia)  for  a  brief  period  in  1981  and  1982. 
I  believe  that  Edgewood  had  restrictions  on  female  membership  and  facilities  use  similar 
to  those  described  above  with  respect  to  Berry  Hills.  As  such,  women  were  classified  as 
associate  (non-voting)  members,  and  the  golf  facilities  were  restricted  to  male  use  on 
Saturday  and  holiday  mornings.  I  resigned  from  Edgewood  in  1982.  1  understand  that 
Edgewood  has  several  minority  members,  and  I  also  understand  that  it  has  no  present 
membership  restrictions  on  the  bases  enumerated  in  this  inquiry.  As  a  country  club,  it  has 
a  long  history  in  Charleston,  and  it  may  have  had  other  membership  restrictions  in  the 


61 


Response  of  Roben  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 


past.  I  had  no  role  in  the  operation  or  management  of  Edgewood,  and  never  served  as  an 
officer.  Board  member  or  committee  member  of  that  entity.  I  made  no  effort  to  alter  any 
of  Edgewood's  policies. 

e.  Lions  Club  of  Charleston  (1976)  -  I  was  a  member  of  the  Lions  Club  of  Charleston 
(a  luncheon,  civic  and  charitable  organization)  for  a  period  of  time  in  approximately  1976. 
The  Lions  Club  was,  at  that  time,  an  all-male  organization  I  understand  that  this 
restriction  has  been  abolished.  I  resigned  from  the  Lions  Club  because  of  lack  of  interest 
and  lack  of  time.  I  had  no  involvement  in  the  management  or  operation  of  the  Lions  Club, 
and  I  made  no  effort  to  alter  any  of  its  policies. 

f.  Although  I  was  never  a  member  of  the  following,  I  utilized  their  golf  facilities: 

Morgantown  Country  Club,  Morgantown,  West  Virginia 

(1958-1961,  and  during  summers  of  1966  and  1967) 
The  Greenbrier,  White  Sulphur  Springs.  West  Virginia 

(intermittently  during  1961-1969) 
Greenbrier  Valley  Elks  Club,  Lewisburg,  West  Virginia 
(summer  of  1969) 
One  or  more  of  these  entities  may  have  had  restrictions  on  membership  on  some  of  the 
bases  enumerated  in  this  inquiry.   I  was  not  familiar  with  their  membership  policies  nor 
in  a  position  to  seek  to  alter  them. 

Other  than  the  foregoing,  the  response  to  this  inquiry  is  in  the  negative. 


Is  there  a  selection  commission  in  your  jurisdiction  to  recommend  candidates  for  nomination 
to  the  federal  courts?  If  so,  did  it  recommend  your  nomination?  Please  describe  your 
experience  in  the  entire  judicial  selection  process,  from  beginning  to  end  (including  the 
circumstances  which  led  to  your  nomination  and  interviews  in  which  you  participated). 

There  is  no  selection  commission. 

In  1992,  I  advised  Senator  Robert  C.  Byrd  and  Senator  John  D.  Rockefeller  IV  of 
my  interest  in  the  Fourth  Circuit  Court  of  Appeals.  Each  of  the  Senators  spoke  with  me 
in  this  regard.  Thereafter,  in  early  1993,  I  was  recommended  to  the  White  House  by 
Senator  Byrd  and  Senator  Rockefeller  for  a  vacant  position  on  the  Fourth  Circuit.  This 
position  continues  to  be  vacant. 


62 


89 


Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3.  1998 


In  early  1998,  Fourth  Circuit  Judge  K.  K.  Hall  of  West  Virginia  notified  President 
Clinton  that  he  would  assume  Senior  Status  on  February  24,  1998.  Thereafter,  Senator 
Byrd  and  Senator  Rockefeller  recoininended  my  appointment  to  the  vacancy  created  by 
Judge  Hall's  change  of  status. 

In  early  April  1998,  I  was  interviewed  with  respect  to  possible  appointment  by 
representatives  of  the  White  House  and  the  Department  of  Justice.  Thereafter,  in  May 
1998,  I  was  also  interviewed  by  representatives  of  the  Federal  Bureau  of  Investigations  and 
the  American  Bar  Association. 


Has  anyone  involved  in  the  process  of  selecting  you  as  a  judicial  nominee  discussed  with  you 
any  specific  case,  legal  issue  or  question  in  a  manner  that  could  reasonably  be  interpreted  as 
asking  how  you  would  rule  on  such  case,  issue  or  question?   If  so,  please  explain  fully. 

No. 


5.  Please  discuss  your  views  on  the  following  criticism  involving  "judicial  activism." 

The  role  of  the  Federal  Judiciary  within  the  Federal  government,  and  within  society 
generally,  has  become  the  subject  of  increasing  controversy  in  recent  years.  It  has  become  the 
target  of  both  popular  and  academic  criticism  that  alleges  that  the  judicial  branch  has  usurped 
many  of  the  prerogatives  of  other  branches  and  levels  of  government. 

Some  of  the  characterization  of  this  "judicial  activism"  have  been  said  to  include: 

a.  A  tendency  by  the  judiciary  toward  problem-solution  rather  than  grievance-resolution; 

b.  A  tendency  by  the  judiciary  to  employ  the  individual  plaintiff  as  a  vehicle  for  the 
imposition  of  far-reaching  orders  extending  to  broad  classes  of  individuals; 

c.  A  tendency  by  the  judiciary  to  impose  broad  affirmative  duties  upon  governments  and 
society; 

d.  A  tendency  by  the  judiciary  toward  loosening  jurisdictional  requirements  such  as 
standing  and  ripeness;  and 

e.  A  tendency  by  the  judiciary  to  impose  itself  upon  other  institutions  in  the  manner  of 
an  administrator  with  continuing  oversight  responsibilities. 


63 


90 


Response  of  Robert  Bruce  King  to 
Questionnaire  for  Judicial  Nominees 
United  States  Senate 
(Public) 
July  3,  1998 

My  view  of  judicial  activism  is  simple  --  I  am  opposed  to  it.  I  believe  strongly  in  the 
principles  of  our  Constitution  and  in  our  constitutional  system.  The  judicial  branch  must  strive 
to  be  cognizant  of  and  adhere  to  its  appropriate  constitutional  role,  and  must  always  be  respectful 
of  the  established  constitutional  roles  of  the  executive  and  legislative  branches  of  our  government. 
In  particular,  the  judiciary  should  always  resist  any  temptation  to  engage  in  any  form  of  judicial 
legislation.  The  specific  tendencies  described  above,  as  subparagraphs  5. a.  through  5.e.,  are,  in 
my  view,  examples  of  inappropriate  judicial  activism. 

Those  appointed  to  serve  as  judges  on  the  various  courts  of  appeal  shouid  always 
understand  and  apply  principles  of  stare  decisis  in  the  fulfillment  of  their  constitutional 
responsibilities.  In  my  view,  appeals  courts  and  appeals  court  judges  should  give  strict  adherence 
to  decisions  rendered  by  the  Supreme  Court  and  to  all  applicable  constitutional,  statutory  and 
judicial  authorities. 


July  3,  1998 


64 


m 

SENATE  RESPONSE  (PUBLIC) 
EXHIBITS  1-A  through  1-F 


ROBERT  BRUCE  KING 


July  3,  1998 


92 


DIRECTOR 


Federal  Bureau  of  Investigation 

United  States  Department  of  Justice 

Washington.  D.  C. 


September  27, 


Honorable  W.  Warren  Upton 
United  States  Attorney 
Southern  District  of  West  Virgi 
4006  United  States  Courthouse 
Charleston,  West  Virginia  25301 

Dear  Mr.  Upton: 

Special  Agent  in  Charge  MacLennan  has  advised 
me  of  the  splendid  manner  in  which  you  and  your  able  assistant, 
Mr.  Robert  B.  King,  have  aided  this  Bureau  in  the  fulfillment 
of  our  responsibilities.    Your  over-all  cooperation  and  com- 
plete willingness  to  be  of  assistance  to  us  are  indeed  gratifying. 

As  examples  of  recent  outstanding  successes  of 
you  and  Mr.  King,  I  have  in  mind  your  diligent,  thorough  prep- 
aration and  aggressive  presentation  of  the  cases  involving 
W.  Bernard  Smith,  et  al.  and  John  Anthony  Bruno,  et  al.    Your 
accomplishments  in  these  matters  should  be  a  source  of  definite' 
pride  to  both  of  you. 

We  in  the  FBI  wish  to  take  this  means  of  express- 
ing our  sincerest  appreciation  to  each  of  you. 


Sincerely  yours, 

0\    ^^si 


4 


Senate  Response  (Public)  Exhibit  1-A 


93 


OmCt  OF  TB«  Dl«ieTO« 


UNITED  STATES   DEPARTMENT  OF  JUSTICE 

FEDERAL  BUREAU  OF  INVESTIGATION 

VAtBINCTON.  D.C.    iSUS 

March  8,  1973 


Honorable  John  A.  Field,  III 

United  States  Attorney 

U.  S.  Courthouse 

500  Quarrier  Street 

Charleston,  West  Virginia  25301 

Dear  Mr.  Field: 

Special  Agent  in  Charge  MacLennan  has  advised  me  of 
the  exemplary  efforts  of  the  personnel  of  your  office,  partic- 
ularly those  of  Assistant  United  States  Attorney  Robert  B.  King, 
in  connection  with  the  prosecution  of  the  case  involving 
Paul  Nathaniel  Hankish,  and  others.   The  results  achieved  are 
indicative  of  your  professionalism  and  that  of  your  staff.   On 
behalf  of  my  associates  and  myself,  please  accept  congratula- 
tions on  a  job  well  done. 


;ereiy  yours , 

L.  Patrick  Gra^,  Iir 
Acting  Director 


Senate  Response  (Public)  Exhibit  1-B 


94 


UNITED   STATES   DEPARTMENT  OF  JUSTICE 

FEDERAL  BUREAU  OF  INVESTIGATION 

VASBINCTON.  D.C.    JOSIS 

August  28,  1973 
PERSONAL 


Honorable  Robert  B.  King 
Assistant  United  States  Attorney 
4006  Federal  Building 
500  Quarrier  Street 
Charleston,  West  Virginia  25301 

Dear  Mr.  King: 

I  wish  to  extend  my  congratulations  to  you  along 
with  those  of  my  associates  for  your  outstanding  efforts  and 
assistance  which  resulted  in  the  successful  prosecution 
and  conviction  of  Claude  Weldon  Truslow,  Bernard  Lee  Brumfield 
and  George  Thomas  Davidson,  Jr.,  who  were  charged  with  con- 
spiracy and  obstruction  of  justice. 

The  professional  manner  in  which  you  overcame  the 
difficulties  presented  throughout  this  trial  is  indicative 
of  your  desire  to  enhance  the  best  traditions  of  your  office 
and  law  enforcement  in  general. 

We  in  the  FBI  wish  to  express  our  thanks  and 
gratitude  for  a  job  well  done. 


Sincerely  yours 


Clarence  M.  Kelley 
Director 


Senate  Response  (Public)  Exhibit  1-C 


95 


ornci  or  tbi  oiuxctok 


UNITED   STATES   DEPARTMENT  OF  JUSTICE 
FEDERAL  BUREAU  OF   INVESTIGATION 

WASMl.vr.10N.  D.C.  }OSJS 


November  28,  1979 
PERSONAL 


Honorable  Robert  B.  King 

United  States  Attorney 

Southern  District  of  West  Virginia 

Post  Office  Box  3234 

Charleston,  West  Virginia  25332 

Dear  Mr.  King: 

I  join  my  associates  in  Pittsburgh  in  thanking 
you  for  your  all-out  effort  in  the  prosecution  of  J.  'Richard 
Barber  for  violation  of  the  Hobbs  Act.   Your  expert  legal 
guidance  and  prosecutive  direction,  your  untiring  efforts 
in  preparing  for  the  trial,  including  giving  selflessly 
of  your  own  time,  and  your  professional  skills  were  in  a 
large  measure  responsible  for  the  success  achieved  in  this 
case. 

My  associates  and  I  appreciate  your  wholehearted 
endeavors  in  this  matter  and  extend  congratulations  on  a 
job  well  done. 


Sincerely  yours, 


CkXILa.^  t^  Co^£^^ 


William  H.  Webster 
Director 


Senate  Response  (Public)  Exhibit  l-D 


96 


Parsoonel  Operations  Section  April  6,    1973 

Oepartamt  of  Justice 

John  A.  PUld,   III 
United  States  Attorney 
I  Southern  District  of  West  Virginia 

Charleston*  West  Virginia 

RecoeBendatlon  for  Outstanding  Perfomance  Rating 

I  noainate  and  recoaaend  Robert  B.  King,  Aaslstant  United  States 
Attorney  for  the  Southern  District  of  West  Virginia,   for  an  outstanding 
perfonunce  rating.     Mr.  King  has  been  an  Assistant  U.  S.  Attorney  in  this 
office  since  Hay  4,    1970,  and,    in  ay  opinion,  has  aade  noteworthy  and 
significant  contributions   to  this  office  and  to  the  public  in  the  orderly 
adalnlstratlon  of  Justice. 

Because   the  staff  in  this  office  is   Halted,    it  is  difficult  to 
delineate  specific  duties   that  fall  under  this  assistant's  Jurisdiction. 
Suffice  it   to  say,  Mr.  King  Is  responsible  for  a  predoainance  of  the  crlainal 
work  in  the  Southern  District  of  West  Virginia   including  all  divisions   thereof. 
Likewise,  Mr.  King  shares  the  responsibility  with  other  assistants   in  the 
general  civil   litigations  handled  by  this  office.     He   is  also  responsible  for 
advising  and  counselling  agents  of   the  different   investigative  bodies  end  with 
handling  of  routitie  grand  Juries  as  well  as   Investigative  grand  Juries. 

Throughout  his   tiiree  years  as  an  Assistant  U.   S.  Attorney,  Mr.  King 
has   repeatedly  shown  thst  he   is  a  dedicated  professional.      It   is  difficult  to 
highlight  any  single  achieveaent  which  qualifiea  hla  for  an  outstanding  per- 
foraance  recoeoendation  but  rather  it  is  the  totality  of  bis  work  that  is 
significant.     Through  Mr.  King's   initiative  and  guidance,   significant  convictions 
have  been  obtained  in  the  following  areas  and  specific  cases: 

Stolen  Property 

This  assistant  has  participsted  in  a  aultltude  of  crlainal 
prosecutions   arising  out  of  a  stolen  property  ring  headed  by  organised  crime 
figure,   Paul  N.  Ranklsh.     This   individual  has  avoided  prosecution  by  various 
aeans   for  a  nuaber  of  years,  but,    through  the  tenacious  efforts  of  Mr.  King, 
he  was  convicted   in  the  United  States  District  Court   in  the  Southern  District 
of  West  Virginia  on  three  counts  dealing  with  the  tranaportatlon  in  interstste 
coHMerce  of  stolen  property.     Mr.  King's  value  to  this  office  is  further  enhanced 
by  his  sbillty  to  "turn  sround"  convicted  defendants  and  aake  thea  responsible, 
credible  govcmaent  witnesses.     This  ability  as   it  related  to  two  convicted 


Senate  Response  (Public)  Exhibit  1-E 


97 


Pag*  2 

dafcndanta  (John  AnChoay  Bruno  and  Jackla  Longfellow)  was  rcaponalble  for 
tha  conviction  of  Hanklah.     Alao  Involvad   In  thia  atolen  property  ring  was 
ena,  Leo  J.  Calandroa,  an  allegedly  responalble  and  well  reapected  buaiaeaa> 
■an  froa  Point  Pleatsant,  Waat  Virginia,  who,  after  being  convicted  at  a  flrat 
trial  after  proclalalag  bia   innocence,   aubaequently  entered  plena  of  gullCy 
on  two  other  chargea.     Mr.  King's   ability  to  foreaee  and  predict  areaa  of 
defense  enabeled  hia  to  avoid  aucceaaful  actiona  by  the  defendanta  and  their 
counael  in  all  these  casea. 

Hr.  King,  for  bis  perforaanee  In  the  Hankish  case,  has  been  praised 
by  Acting  Director  L.  Patrick  Cray  of  the  Federal  Bureau  of  Investigation,  a 
copy  of  which  letter  is  attached  hereto. 

Public  Corrtiptlon 

0.  8.  V.  Boon  Brown 

In  on*  of  the  aost  significant  prosecutions  und*rtak*n  by  this 
offlc*  In  recent  years,  Mr.  King  participated  in  and  aianaged  the  trial  of 
Bonn  Brown,   fonaer  aaaociate  of  Ix-Govemor  W.  W.   Barron  of  Weat  Virginia 
for  Jury  bribery.     The  Jury  bribery  occurred  in  connection  with  the  1968 
bribery-conspiracy  case  involving  Brown,   foraer  Governor  Barron  and  other 
Stat*  of  West  Virginia  ptAlic  officials.     In  a  case  in  which  the  general 
consensus  in  this  State  waa  that  no  conviction  could  be  had,  Mr.  King  dis- 
played the  keenness  of  insights  in  trial  tactics  snd  strategy  in  securing 
the  conviction  of  this  individual.     Again  his  expertise   in  handling  the 
direct  exaaioation  of  fomer  Governor  Barron  in  his   testiaony  against  his 
foraer  aaaociate  proved  of  inestiaable  twrth   in  the  final  result. 

n.  S.  V.  Anderson,  et  al. 

Mr.  King  and  foraer  U.  S.  Attorney,  W.  Warren  Dpton,  achieved 
the  lapoeslble  with  the  successful  prosecution  of  five  individuals  froa 
Logan  County,  Vest  Vlrginls,  with  conspiracy  to  violate  the  civil  rights 
of  the  voters  of  Logan  County  by  stuffing  ballot  boxes.     In  dolag  this,  Mr. 
King  snd  Mr.  Dpton  ware  sbl*  to  convict  a  State  Senator,   two  cl«rka  of 
court  snd  a  Sheriff  and  two  of  their  political  allies.     As  a  rosult  of  this 
activity  the  Senator  was  reaoved  froa  his  seat  in  the  West  Virginis  State 
Senate.     The  preparation  and  atrategy  in  this  three  end  one-half  w**ks  trial 
were  novel,   innovative  and  obvioualy  successful. 

Distribution  of  Controlled  Substancea 

Mr.  King  succAssfully  prosecuted  the  first  cases  tried  in  this 
district  for  violation  of  the  newly  enacted  Controlled  Substancea  Act,  21  D. 
S.C.,  Section  841,  et  seq.     It  is  well  settled  that  defenae  counsel  are  at 


98 


r«s«  3 


th.lr  bMt  to  d«£.ndln«  fT,ot>M  aec^ed  of  violating  drug  U^  "*  "^.^ 
Kins.  dUpUytng  .  high  <•,«•  «»«  prof*«.too«ll«.  •-"•••'""r  P"«««»«^ 
four  c«s*s  of  thU  typ«  is  the  Southtn  Dlatrlct  of  ««»t  Vlrglala. 

For  his  liork  In  thU  axM.  ho  hoo  boon  co^llMntod  en  tho 
rocord  by  the  prosldiag  judgo. 

Appoolo 

S<ifflco  It  to  ««y  for  ovory  crlalnol  conviction  on  oppool 
follows.     Robert  King  hss  a  perfect  record  of  efflr»enee. 

Conorel 

During  the  pest  yeer  Robert  King  has  worked  nights  aad  woekoais 

to  ■alntaln  n.u  high  lewl  of  schleve^nt  and  baa   loot  annual  Usve  «•  ■ 
result  of  thla  o^ieatLen.     In  addition  to  these  cases  Mentioned,  •»•  ''•^**r,, 
■any  additional  erl»x..i.  j^ry  trUU  e»d  the  proparatlon  and  research  or  etiii 
others.     Ha  also  had  under  tn-  tutelage  and  guidance  ti*o  new  assistants  «d»o 
bad  no  previous  experleace  and  he  -^Hmd  tbea  Intn  IJo*  *Bd  •tfeg%S-y  trial 
Xawyars.     He  was  credited  with  an  ezeeas  w  1500  Uours  of  court  rolatod  t-*"* 

In  addition  to  this,  Mr.  King  has  been  involved  In  ordiaa>^ 
day  to  day  bedlaa  associated  with  being  an  Asilstaot  U.  S.  Attomay  in  ^' 
small  but  active  office;  and,   in  vy  opinion,  has  perforaod  hie  duties  II^  "B 
outstanding  faahlon.     In  ay  contact  with  the  judgea  before  idiea  we  practi" 
I  have  been  advised  dtet  Mr.  King  Is  hold  by  tfaea  In  their  bl|^eet  aetoon 
end  while  sll  the  esolstants  In  ay  office  are  respected  end  well  liked,  all 
of  the  judges  feel  that  Bob  Is  the  aoet  outstanding. 


In  aany  offices  in  Che  Daited  States  Attorneys  ecross  (he 
country  which  ere  larger  than  this  one,  an  attorney  has  a  chance  to  spociellBo 
and  becoae  an  expert  Ib  e  given  area  of  endeavor,  however,  here  xt  r9^ulrea 
that  an  assistant  be  well  ecqoaiatod  wltk  every  erva  of  Che  lew.     la  this 
■obort  B.  King  Is  a  perfectlonisC.     Me  strives  to  aelntaia  his  profoesiMwl 
axpertlse  In  the  ever  changing  arena  of  crlalaal  law.    Be  baa  clearly  aad 
convincingly  deaonstratod  over  the  past  three  years  thst  ho  is  eaineatlT 
qualified  for  recognition  as  an  outstandlag  Aaslstant  United  Steles  ACtSCne^ 
by  the  Depertaent  of  Justice. 


99 


©fiirp  nf  tl|p  AllunTpy  (Smrral 

January  15,  1981 


Mr.  Robert  B.  King 
United  States  Attorney 
Charleston,  West  Virginia 

Dear  Bob: 

I  have  received  your  letter  of  January  5,  1981,  informing 
me  of  your  resignation  as  United  States  Attorney  for  the 
Southern  District  of  West  Virginia,  to  be  effective 
February  28,  1981. 

You  have  my  sincere  appreciation  for  the  outstanding 
service  which  you  have  provided  to  the  Department  of  Justice 
and  to  the  Nation.   I  particularly  appreciate  your  service 
on  the  Attorney  General's  Advisory  Committee  of  United 
States  Attorneys,  where  you  have  served  as  secretary  and 
as  vice-chairman,  and  your  support  of  the  Attorney  General's 
Advocacy  Institute. 

I  know  that  you  will  leave  the  United  States  Attorney's 
Office  with  great  pride  but  with  a  sense  of  regret  because 
of  the  tasks  and  challenges  of  that  position,  which  are 
as  great  as  any  in  the  field  of  law. 

Personally,  and  on  behalf  of  the  entire  Department  of 
Justice,  I  commend  you  for  your  performance  and  thank  you 
for  your  service.   I  wish  you  every  good  success  in  the 
future. 

With  kindest  personal  regards 

SinG«ely, 


Benjamin  R.  Civiletti 
Attorney  General 


Senate  Response  (Public)  Exhibit  1-F 


100 

SENATE  RESPONSE  (PUBLIC) 

EXHIBIT  2 


ROBERT  BRUCE  KING 


July  3,  1998 


101 


BERRY  HILLS 

COUNTRY 

CLUB 


1997 

By-Laws  and 

Membership  Directory 

Post  Office  Box  869 
Charleston,  West  Virginia  25323 

(304)  744-1393 
(304)  744-7040  (fax) 


Senate  Response  (Public)  Exhibit  2 


102 

HISTORY 

A  seventeen-man  committee  composed  of  Howard  W.  Ball, 
F.G.  Bannerot.  W.H.  Billings,  W.G.  Caperlon,  Jr.,  James  S.  Conley, 
Harry  C.  Davis,  William  M.  Drennen,  Frank  A.  Hardy,  Ruffner  R. 
Payne,  John  V.  Ray,  J.  Banks  Shepherd,  L.N.  Thomas,  O.W.  Van 
Pellen,  Ben  W.  Venable,  W.O.  Ziebold,  Philip  W.  Ziler  and  Charles 
E.  Hodges,  formed  the  Berry  Hills  Golf  Association  in  June,  1950. 
This  association  purchased  land  containing  over  400  acres  on  Middle 
Ridge  near  the  waters  of  Davis  Creek,  Lx)uden  District,  Kanawha 
County,   W.Va.      Out   of  the   wilderness   of  Middle   Ridge   was 
constructed  the  18  hole  golf  course  of  Berry  Hills  Country  Club  in 
1951  and  1952.    The  course  was  designed  by  William  P.  Gordon,  a 
well-known  golf  architect  from  Doylestown,  Pennsylvania.  It  was  first 
opened  for  play  on  June  10,  1952..4n  those  early  days  the  members 
spent  most  of  their  time  picking  up  roc^s  on  fairways  and  looking  for 
lost  balls  in  the  uncleared  rough,  but  the  natural  beauty  of  the  site 
made  the  effort  worthwhile. 

The  ground  floor  of  the  Club  House,  consisting  mostly  of 
locker  rooms,  was  constructed  in  1952.  The  main  floor  was 
completed  and  furnished  in  1956. 

The  swimming  pool  was  completed  and  opened  in  June,  1953. 
The  tennis  courts  were  ready  for  play  in  the  spring  of  1956. 

The  seventeen-man  committee  and  numerous  other  club 
members  and  their  wives  contributed  many  hours  of  time  and  effort  to 
the  planning,  organizing  and  construction  of  the  facilities  at  Berry 
Hills.  W.G.  Caperton,  Jr.  was  the  leader  of  this  team  of  volunteer 
workers  and  became  the  first  president  of  the  club.  This  book  is 
dedicated  to  these  men  and  women  for  their  tireless  efforts  in  helping 
to  make  Berry  Hills  one  of  the  finest  country  clubs  in  West  Virginia. 


103 
PAS  I  PRISUHNIS 


^*^-*^ W.n.Capcrlon  |r. 

^'53 R. r.  Randolph 

1954 lohnParlridgc 

'955 lewisTicrncy 

1956 J.  Banks  Shepherd 

1957 1 IX.  Davis 

1958 c  H.  Johnson 

1959 FrankA.  Thomas,  |r. 

19M> Charles  E.  Anderson 

19^1 llenryP.  Bulls 

19W R.  K.  Tallwl 

19W Williams.  Endres 

19*^4 KcllyE.  Reed 

1 9^5 CharlesM.  Slurm 

^"^^^ Ernes!  L  laughorn 

19<i7 lohnl.  Ray 

19f'» ErwIJ.  Olio 

1909-70-71-72-73-74 W.H.  Belcher 

^"^^^-^f* lamesA.  SloRden 

^''77 Williams.  Endres 

1970 E.A.D«ly 

1979 W.H.  Belcher 

19«»-»1 VinceM.  Palerno 

^9»2.... RolH!rl |.  Halonen 

^'"^-»* N.  Stanley  Eastman 

^^^^* OcnnisVogelsherger 

^90^^07 joe  B.  Holland 

19»8 lohnCipolelli 

19«9 R„lH,rl  I.  Bliss 

1990 leeO.  Hill 

1991 Davids.  Long 

^"^^^ Robert  N.  Hatch,  Jr. 

^'^'^^■'^^ Thomas C  Nacrcboul 

I'^'^^-OC, William C  PicUi 

'*^*^7 )„!,„  E.  p|„j^_|^ 


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104 

BOARD  ov  (;ovi<:knok8 

OFFICERS  AND  COMMllTFES  1997 

Presidenl  (Golf  Comniiltcc) 
John  Plcsich 

Vice-President  (Pool  &  Tennis  Coinniitlec) 
Andrew  A.  Payne 

Treasurer 
MicliacI  Hedge 

Secrelary  (Long  Range  Planning  Committee) 
Mike  Frisk 

House  Comtnitlce 
David  Wallace 

Grounds  Committee 
Robert  Thaxton 

Social  Committee 
Kenneth  Dowen 

Stephen  Farmer 
Membership  Committee 

James  Darlsch 
Co-Chairman  Membership  Committee 

Goir  StalT 

Head  Golf  Professional Darry  Evans,  PGA 

Grounds 
Grounds  Snperintendenl... John  C.  Cummings,  CGCS 
Assistant  Grounds  Superiniendent...Kermit  Smith 
Clubhouse  Staff 

General  Manager Tim  Kirby 

Office  Manager Connie  Doardman 

Chef Jamison  Ugland.  CHC 

Maintenance Rick  Cummings 

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105 
BY-LAWS  , 

ARTICLE  I 

NAME 
Section  I .    This  associaliop,  i  corporation  organized  under  the  laws  of  the  Slate  of  West 
Virginia,  shall  be  known  as  BERRY  HILLS  COUNTRY  CLUB. 

ARTICLE  II 

GOVERNMENT 
Section  I.    The  government  and  management  of  this  club  shall  be  vested  in  a  Board  of 
Governors,  consisting  of  nine  (9)  members,  and  the  officers  and  committee  hereinafter  mentioned.  The 
officers  of  this  club  shall  be  a  President,  Vice  President,  Secretary  and  Treasurer. 

ARTICLE  III 

BOARD  OF  GOVERNORS 
Section  I .  Elections.  The  Board  of  Governors  of  this  club  shall  consist  of  nine  (9)  members 
and  shall  be  so  constituted  that  the  terms  of  three  (3)  of  its  members  shall  expire  each  year,  and  at  each 
annual  meeting  three  (3)  members  shall  be  elected  by  ballot  for  three  (3)  year  terms  to  fill  the  vacancies 
caused  by  the  expiration  of  the  terms  of  the  retiring  members.  At  such  election  each  member  present, 
in  person,  shall  vole  for  the  number  of  Governors  to  be  elected,  and  the  required  number  receiving  the 
highest  number  votes  shall  be  declared  elected.  The  members  in  any  meeting  may  remove  any  Board 
member  and  fill  ihc  vacancy,  but  any  vacancy  not  caused  by  such  removal  shall  be  filled  by  the  Board. 

Section  2.  Quorum.  A  majority  of  the  Board  shall  constitute  a  quorum,  and  an  affirmative 
vole  of  Ihc  majority  of  lliose  present  at  any  meeting  shall  be  necessary  to  the  adoption  of  any  resolution. 

Section  3.  Meetings.  Tliere  shall  be  a  regular  meeting  of  the  Board  of  Governors  held 
immediately  following  each  annual  members'  meeting,  at  the  same  place  and  at  such  oilier  limes  and 
places  in  Kanawha  County,  West  Virginia,  as  the  Board  may  from  time  to  lime  designate  by  resolution. 
Special  meetings  of  the  Board  of  Governors  may  be  called  by  the  President.  Vice  President,  any  three 
members  of  tlie  Board  of  Governors  or  by  the  Board  of  Governors.  Such  special  meetings  shall  be  held 
in  Kanawha  County,  West  Virginia,  and  notice  of  such  meetings  shall  be  mailed  to  each  director  at  his 
last  known  post  office  address  at  least  five  days  before  the  time  of  the  meeting.  Any  action  of  a  majority 
of  the  Board,  alihough  not  a  regularly  called  meeting,  and  the  record  thereof,  if  assented  to  in  writmg  by 
all  the  other  members  of  the  Board,  shall  always  be  as  valid  and  effective  in  all  respects  as  if  passed  by 
the  Board  in  regular  meeting  assembled.  No  notice  of  special  meeting  at  which  all  the  Board  members 
are  present  shall  be  required,  and  the  same  shall  constitute  a  legal  meeting. 

Section  4.  Record  of  Proceedings.  The  Board  of  Governors  shall  cause  a  record  of  their 
proceedings  to  be  kept  by  the  Secretary  of  the  club,  or  by  a  .Secretary  pro  tempore.  The  records  shall  be 
verified  by  the  signature  of  the  person  acting  as  Secretary  and  of  the  chairman  of  the  meeting. 

Section  5.  Vole  by  Interested  Board  Member.  No  member  of  the  Boanl  shall  vole  on  a 
question  in  which  he  is  interested  otherwise  than  as  a  member  of  the  club,  except  the  election  of  a 
President  or  other  officers  or  employees,  or  be  present  at  the  Board  while  the  same  is  being  considered; 
but  if  his  retirement  from  the  Board  in  such  case  reduced  the  number  present  below  a  quorum,  the 
question  may  nevertheless  be  decided  by  those  who  remain.  On  any  question  the  names  of  those  voting 
each  way  shall  be  entered  on  the  record  of  their  proceedings,  if  any  member  at  the  time  requires  it. 


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Section  6.  Books  of  Account.  The  Boaiil  of  Governors  shall  cause  regular  and  correct  books 
of  account  to  be  kept,  and  Tinancial  statements  to  be  submitted  to  each  annual  meeting  of  the  members. 

Section  7.  Bonds  of  OfTlccn,  Agents  and  Employees.  The  Board  of  Governors  may  at  any 
time  require  any  ofHcers,  agent  or  employee  of  the  club  to  enter  into  a  bond  for  the  faithful  performance 
of  his  duties  in  such  penally  and  with  such  surety  as  the  Board  may  deem  proper  and  pending  (he 
furnishing  of  such  bond,  any  such  officer,  agent  or  employee  shall  not  perform  any  of  the  duties  of  his 
office  or  position.  The  premiums  on  such  bonds  shall  be  paid  by  the  corporation. 

ARTICLE  IV 

OFFICERS  AND  THEIR  DUTIES 
Section  1.  Election.  As  soon  as  may  be  after  (he  election  of  each  Board  of  Governors,  the 
Board  shall  choose  one  of  its  own  body,  or  its  ex-officer  member,  as  President,  another  as  Vice  President, 
another  as  Secretary  and  another  as  Treasurer.  The  Board  of  Governors  may,  if  i(  deems  i(  advisable, 
select  one  member  to  serve  as  bo(h  Secreury  and  Treasurer.  The  Board  of  Governors  may  also  appoint 
an  Assi5tan(  Secretary  and  Assistant  Treasurer  and  such  other  officers,  agents  and  employees  of  (he  club 
as  (hey  may  deem  proper,  arnl  may  prescribe  the  duties  thereof  and  may  provide  compensation  therefore, 
except  that  the  President  and  Vice  President  shall  serve  wi(hout  compensation. 

Sec(ion  2 .  Duties.  The  President  shall  preside  at  all  meetings  of  the  members  of  this  club  and 
of  (he  Board  of  Governors.  He  shall  be  (he  chief  execudve  officer  of  (he  club  and  shall  have  general 
charge  of  die  business  of  the  club,  subject  to  tlie  direction  of  tlie  Board  of  Governors.  The  duties  of  (he 
President  shall  be  performed  by  the  Vice  President,  in  (he  absence  or  incapaci(y  (o  ac(  of  (he  former.  In 
(he  absence  or  incapaci(y  to  act  of  both  the  president  and  vice  piesident.  the  Board  of  Governors  shall 
appoint  one  of  (heir  own  number,  elec(ed  by  ihe  members  of  the  club,  to  perform 
the  duties  of  the  president  pro  tempore. 

The  Secretary  shall  Veep  the  minutes  of  the  Bnanl  of  Governors  and  also  (he  minu(es  of  the 
meetings  of  (lie  members  of  the  club.  He  shall  attend  to  the  giving  and  serving  of  all  notices  of  (he  club. 
He  shall  have  charge  of  such  books  and  papers  as  (he  Board  may  decide.  He  shall  a((end  to  such 
correspondence  as  may  Ik  assigned  to  him  and  perform  all  the  duties  incident  (n  his  office.  He  shall  keep 
a  record  of  all  members  of  (liis  club,  showing  their  places  of  residence,  and  the  date  tliey  became 
members,  and  such  record  shall  be  open  for  inspection  by  any  meml>er. 

The  duties  of  die  Assis(ant  Secretary,  if  die  Board  decides  to  have  such  an  officer,  shall  be  to 
act  as  assistant  to  the  secretary  to  perform  all  of  his  functions  and  diKies  in  his  absence. 

The  Treasurer  shall  have  charge  of  all  funds  and  securities  of  the  club  which  may  come  into 
his  hands,  and  shall  keep  full  and  accurate  account  of  all  moneys  received  and  paid  by  him  on  account 
of  (he  club.  The  du(ies  of  (he  Assistant  Treasurer  shall  be  to  act  as  an  Assistant  to  the  Treasurer,  and  to 
petfurni  all  of  his  functions  and  duties  in  his  absence,  except  as  res(ric(ed  by  (lie  Board  of  Governors. 

The  Presiden(,  Vice  President.  Secretary,  Assistant  Secretary.  Treasurer  and  Assistant 
Treasurer  shall,  in  general,  perform  the  duties  incident  to  their  offices,  and  any  oUier  duties  designated 
by  die  Board.  All  odier  officers,  agents  and  employees  shall  perform  such  duties  as  may  be  designated 
by  die  Board. 

ARTICLE  V 

COMMITTEES 

Section  I .  There  shall  be  a  House  Committee,  Gulf  Committee  and  Entertainment  Committee, 
and  such  oilier  committees  as  the  board  may  from  time  to  time  designate.  The  members  and  chairman 
of  all  committees  shall  be  appointed  by  die  President. 


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107 


Seclion  2.  House  Commlllec.  Subject  to  the  supervision  and  control  of  llie  Board  of 
Govemore,  the  House  Commillee  shall  have  charge  of  the  Club  House  and  everything  pertaining  thereto, 
including  the  employment  and  supervision  of  employees,  the  purchase  of  articles  and  supplies,  and  (he 
making  and  enforcement  of  rules  and  regulations  governing  the  use  and  enjoyment  of  (he  Club  House  and 
grounds. 

Seclion  3.  Golf  Coinmiltee.  Subject  lo  the  supervision  and  conirol  of  (lie  Board  of 
Governors,  (he  Golf  Commidee  shall  have  charge  of  the  Golf  Links.  Club  House.  Grounds  and  everything 
pertaining  thereto,  including  (he  employment  and  supervision  of  employees,  the  purchase  of  articles  and 
supplies,  the  making  and  enforcement  of  lules  and  regulations  governing  the  use  of  (he  links,  and  (he 
managemen(  of  all  golf  (oumamen(s  and  matches. 

Seclion  4.  Social  Commillee.  Subject  lo  the  supervision  and  conirni  of  the  Board  of 
Governors,  the  Social  ConimiKee  shall  have  charge  of  all  dances  and  enteruinments  given  by  tlie 
association,  and  everything  pertaining  (here(o.  including  die  employmem  of  servams  in  connec(ion 
(herewith,  the  purchase  of  articles  and  supplies  and  the  adoption  of  reguladons  governing  the  same. 

Section  5.  Other  Committees.  The  diKies  of  any  newly  created  commidees  shall  be 
determined  by  (he  Board;  and  such  commiilees,  their  duties  and  membership,  shall  be  posted  on  the 
bulletin  board  within  thirty  (30)  days  after  (he  formation  thereof. 

Seclion  6.  Any  commillee  may.  from  lime  (o  tinte.  originate  proposals  for  permanent  change 
In  those  areas  of  club  property  widiin  (he  conimitiee's  responsibility  for  supervisory  conirol.  Such 
proposals,  witli  plans  (hereof,  and  committee  recommendations  tliereon.  shall  be  submitted  (o  the  Board 
of  Governors,  bul  no  permanent  change,  of  any  type  whatsoever,  shall  be  made  in  Ihe  club  buildings  or 
grounds  until  the  same  has  been  approved  and  authorized  by  the  Board  of  Governors. 

ARTICLE  VI 

MEMBERSHIP 
Section  I.  Classes.  Membership  shall  be  classed  as  Single.  Family.  Non-Rcsident.  Jimior 
Single,  Junior  Family.  Temporary  Mili(aiy.  Inacdve,  Corpora(e.  House  and  Re(ired.  The  number  of 
Single  and  Family  memberships  shall  no(  exceed  four  hundred  (400).  Members  in  (he  Associa(e  Class 
D  classiHcadon  of  membership  as  of  December  9.  1989,  shall  be  emided  a(  (heir  election,  lo  transfer  to 
anodier  classincaiion  of  membership  for  which  they  are  eligible  without  Ihe  payment  of  any  additional 
initiation  fees,  or  to  retain  their  membership  in  the  Associate  Class  B  classification,  but  no  new  applicants 
shall  be  clcc(cd  (o  mcml>ersliip  in  such  classirica(ion.  Meml>ership  in  die  Associa(e  Class  A  classirica(ion 
as  of  December  9,  1989.  shall  be  (ransferred  (o  Single  or  Family  membership,  as  the  case  may  be. 
effective  December  9.  1989,  without  (he  payment  of  tlie  additional  initiation  fees,  and  shall  diereafier  be 
entitled  to  all  privileges  of  (he  Club  available  to  members  in  the  applicable  classincaiion  lo  which  they 
have  transferred. 

Section  2.  Single  Members.  Unmarried  individuals  arc  eligible  for  single  membership. 
Single  membership  shall  extend  ihe  privileges  of  ihe  association  only  lo  the  member,  but  said  member 
shall  have  (he  right  lo  entertain  one  member  of  the  opposite  sex  widiout  charge  for  green  fees,  swimming 
fees,  elc. 

Seclion  2-A.  Junior  Single  Members.  Individuals,  21  to  29  years  of  age,  inclusive,  are 
eligible  for  Junior  Single  membership,  which  extends  to  them  the  same  privileges  as  diose  set  forth  for 
Regular  Single  Members  in  Seclion  2,  and  subject  to  tlie  fees,  dues,  provisions  and  conditions  applicable 
lo  Junior  Family  Members  set  forth  in  Secdon  3-A. 

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108 


Section  3.  Family  Members.  Married  ciHiptes  ind  unmarried  individuals  with  families  are 
eligible  for  family  membership.  Family  membership  shall  extend  the  privileges  of  the  club  to  the  couplft 
or  the  unmarried  individual,  as  the  case  may  he,  and  minor  children  thereof.  Such  minor  children  shall 
be  entitled  lo  the  privileges  of  the  club,  subject  to  such  lules  and  regulations  as  may  be  from  time  to  time 
formulated  by  the  Board  of  Governors. 

On  becoming  twenty-one  years  of  age.  such  a  child  shall  cease  to  be  entitled  to  the  privileges 
of  the  Club,  but  shall  be  eligible  for  Junior  Resident  or  Non  Resident  membership,  as  the  case  may  be, 
upon  application  and  election  in  the  usual  manner:  provided, however,  any  such  single  child  who  is  a 
bonande  enrolled  college  shideni  or  member  of  the  armed  forces  on  active  duty  shall  be  entitled  to  the 
privileges  of  the  Club  until  he  or  she  reaches  the  age  25  years  or  loses  his  or  her  status  as  an  active 
student  or  member  of  the  armed  forces  on  active  duty,  whichever  First  occurs,  at  which  time  he  or  she 
shall  be  eligible  to  become  a  Junior  or  Family  member,  upon  application  and  election  in  llie  usual  manner. 

Section  3-A.  Junior  Family  Members.  Couples  and  unmarried  individuals  with  families,  21- 
29  years  of  age  inclusive,  shall  be  eligible  for  Junior  Family  membership  entitling  them  to  the  same 
privileges  as  a  Regular  Family  member.  Provided,  however,  that  upon  either  xiwuse,  in  the  case  of  a 
couple,  or  the  member  in  the  case  of  an  unmarried  individual,  attaining  the  age  of  thirty  years,  the  couple 
or  the  unmarried  individual,  as  the  case  may  be.  shall  forthwith  become  a  Regular  Pamily  member  without 
payment  of  additional  initiation  fee.  The  number  of  Junior  Single  and/or  Junior  Family  Members  shall 
be  limited  to  thirty  (30)  memberships  at  a  given  time. 

Section  4 .  Junior/Intermediate  Members.  Couples  and  unmarried  individuals.  30  to  35  years 
of  age,  are  eligible  for  Junior/Intermediate  membership,  which  extends  tliem  the  same  privileges  as  those 
set  fourth  for  Regular  Family  Members  in  Section  3,  and  subject  to  the  fees,  dues,  provisions  and 
conditions  applicable  lo  Family  members  set  fourth  in  Section  3. 

Section  S.  Non-ResidenI  Members.  Married  couples  or  unmarried  individuals  21  years  of 
age  or  older  residing  more  than  forty  (40)  miles  (airline  distance)  from  lite  city  limits  of  the  City  of 
Charieslon  shall  be  eligible  for  Non-Resident  membership,  which  shall  extend  the  privileges  of  the  club 
to  such  member  as  are  available  to  Family  Members.  Any  couple  or  unmarried  individual,  as  the  case 
may  l)e,  who  maintain  or  maintains  a  residence  witliin  the  resident  limits  hereinbefore  defmed,  shall  be 
ineligible  for  Non-Resident  membership. 

Non-Resident  members  living  temporarily  in  resident  limits  as  hereinbefore  defmed,  may  be 
required  by  the  Board  of  Governors,  in  its  discretion  to  pay  the  dues  of  Resident  members  while  so 
residing. 

Any  Non-Resident  members  moving  within  the  territorial  limits  of  Resident  membership,  shall 
immediately  make  application  for  Resident  membership,  as  provided  in  Section  10  of  lliis  Article,  except 
the  amount  of  initiation  fee  theretofore  paid  shall  be  credited  upon  the  initiation  fee  payable;  however, 
during  the  normal  period  such  application  being  acted  upon,  applicant  shall  be  entitled  to  the  privileges 
of  Resident  membership  upon  payment  of  Resident  dues.  In  event  favorable  action  is  not,  or  cannot,  be 
taken  upon  such  application  within  tliree  months  following  such  change  of  residence,  then  applicant's 
privileges  in  the  club  shall  automatically  cease. 

Section  S-A.  Temporary  Military.  Members  of  the  armed  forces  of  (he  United  States  on 
active  duty  witliin  the  territorial  limits  applicable  to  Resident  memberships,  are  eligible  for  temporary 
membership  in  tJie  club,  extending  the  privileges  of  the  club  to  such  person  and  his  or  her  family  as 
defined  in  Section  2,  Single  Members  or  Section  3,  Family  Members  as  the  case  may  be;  provided, 
however,  that  no  person  shall  remain  in  this  membership  status  for  more  than  two  years,  after  which  lime 
such  member  may  apply  for  permanent  membership  in  accordance  with  his  or  her  age  and  martial  stahis. 


(7) 


109 


meeling  all  requiremenls  as  In  ownership  of  stock  in  the  association  and  paying  the  difference  between 
his  temporary  initiation  fee  hereinafter  provided  aitd  llie  regular  initiation  fee  for  his  or  her  age  status. 
The  Temporary  Military  Memlier  shall  pay  the  regular  dues  applicable  to  his  or  her  age  and  status  during 
the  term  of  his  of  her  membership.  (Temporary  Military  membership  shall  be  limited  to  S  at  any  given 
time.) 

Section  6.  Inactive  Members.  Any  Resident  member  moving  beyond  the  territorial  limits  nf 
a  Residential  membership  may  make  application  to  the  Board  of  CJovemors  to  have  their  classification 
changed  to  an  Inactive  Member.  Inactive  classificalion  must  remain  in  effect  for  a  minimum  of  one  year. 
If  the  member  should  move  within  the  territorial  limits  of  the  Club  for  Resident  memliership  within  the 
one  year  period,  they  shall  not  have  the  privileges  of  the  Club  unless  tliey  pay  the  Resident  meml)ciship 
dues  for  the  period  they  were  classiHed  as  inactive  members. 

Section  7.  Corporate  Membership.  A  corporation  or  firm  desiring  to  provide  one  or  more, 
hut  not  exceeding  S,  memberships  for  its  officers  or  key  personnel  may  do  so  by  filing  application  for  the 
number  of  memberships  it  desires.  Application  for  membership  in  the  Club  shall  then  l>e  made  by  the 
individuals  designated  by  the  corporation  in  the  same  manner  as  any  other  person.  They  shall  apply  for 
membership  and  all  eligibility  requirements  and  other  provisions  of  these  Bylaws  shall  apply  to  all  such 
individual  applicants. 

Section  R.  Home  (Social)  Membership.  Any  couple  or  unmarried  individual,  with  or  without 
families,  shall  l)e  eligible  for  a  House  Membership.  A  House  Membership  shall  extend  the  privileges  and 
enjoyments  of  the  clubhouse,  tennis  courts,  and  swimming  |>ool  to  the  members  and  ihcir  minor  children. 
Tlicy  may  not  use  the  golf  course.  Tlie  privileges  of  guests  introduced  by  House  Members  shall  l>e 
limited  to  die  privileges  of  the  House  Memlier  classification 

Section  9.  Kellreil  Members.  Any  memlicr,  over  sixty  five  (65)  years  of  age.  holding  a 
'Single'  or  Taniily*  nicin))crship  for  at  least  ten  (10)  years,  and  completely  retired  from  any  gainful 
occupation,  may  apply  for  a  Retired  Membership  which  may  l>e  granted  by  a  vole  of  Uie  Board  of 
Governors.  A  Retired  Member's  dues  shall  at  no  lime  e(|ual  an  amount  greater  than  seventy-five  (75) 
percent  of  the  dues  of  a  Famdy  member.  A  Retired  Member  shall  extend  all  the  privileges  of  the  club  to 
the  memlicr  except  Retired  members  may  not  use  the  golf  course  on  weekends  or  holidays  unless  the 
Board  shall  otherwise  provide.  Such  prohibition  shall  not  apply  to  special  golf  events  which  occur  on 
weekends  or  holidays. 

Section  10.  Voting  Privileges/Holding  Office.  Unly  Single  and  Family  members  shall  be 
entitled  to  vole  or  hold  office.  In  the  case  of  Family  Members,  either  spouse  shall  be  entitled  to  cast  the 
vote  for  a  Family  Membership,  but  each  such  Membership  shall  be  entitled  to  only  one  vole.  In  the  case 
of  a  Family  Menil>eiship,  either  spouse  may  hold  office,  but  both  spouses  may  not  hold  office 
simultaneously. 

Section  II.  Application.  Applications  fur  membership  shall  be  in  writing,  signed  by  the 
applicant  and  the  applicant  shall  be  recommended  by  two  members  of  the  club. 

No  applicants  shall  be  elected  to  membership  except  upon  the  affirmaiive  vote  of  all  but  one 
of  the  members  of  the  Board  of  Governors  present  at  any  regular  assembled  meeting. 

ARTICLE  VII 

FEF^  AND  DUES 
Section  1 .    Inilltilion  Fees  and  Annual  Duu.   11ie  initiation  fees  and  annual  dues  fur  each 
class  and  category  of  membership,  including  the  schedule  of  payments  of  both,  shall  be  as  determined 
from  time  to  tune  by  the  Board  of  Govemors,  provided,  however,  diat  any  changes  in  (he  annual  dues 

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(or  each  class  and  category  of  membership,  and  ihe  schedule  n(  payments  thereof,  shall  be  approved 
by  a  majority  of  members  entitled  to  vole  under  Article  VIII,  Section  2  of  these  By-Laws. 

Section  2.  Iitdcbtedness.  Whenever  any  member  shall  become  indebted  lo  the  association 
for  Hues  or  any  credit  extended,  the  Treasurer  shall,  on  the  first  day  of  each  month,  or  as  soon 
thereafter  as  practical,  send  to  each  of  the  members  so  indebted  to  the  club  a  statement  of  his 
indebtedness  as  of  said  date,  calling  attention  lo  the  following  provisions  of  this  by-law  and  if  any 
member  shall  fail  to  pay  such  indebtedness  within  Ivi^nly  days  thereafter,  the  Treasurer  shall  post  his 
name,  together  with  the  amount  of  his  ind<>bledness  and  the  dale  of  such  posting,  on  the  bulletin 
board  of  the  club,  at  the  same  lime  notifying  such  member  in  writing  that  his  name  has  been  posted 
and  that  unless  such  indebtedr>ess  is  paid  within  ten  days  from  the  dale  of  such  posting  his 
delinquency  will  be  reported  lo  Ihe  Board  of  Governors  and  the  Board  of  Governors  shall,  within  its 
discretion,  drop  said  member  from  the  list  of  membership  within  ninety  days  after  delinquent  has 
been  reported  lo  the  Board  of  Governors,  and  if  such  member  is  dropped  from  the  list  of  members, 
then  he  shall  be  notified  of  that  fact  by  lite  Treasurer. 

Section  3.  Resignation.  No  Member  shall  be  permitted  to  resign  from  the  club  unless  his 
indebtedness  is  paid  in  full. 

Section  4.  Collcclion  of  Indebtedness.  If  any  member  who  may  have  been  dropped  from 
the  membership  of  the  club  under  Section  3  above  shall  be  indebted  lo  the  club,  the  Board  of 
Governors  shall  proceed  to  collect  such  indebtedrtess  by  suit  or  ollierwise,  as  it  may  deem  proper. 

ARTICLE  VIII 

MEETINGS 
Section  I .  The  •nnuil  meeting  of  this  club  shall  be  held  in  Kanawha  County,  West  Virginia, 
on  the  second  Sanirday  in  December  of  each  year.  Other  meetings  may  be  called  by  itie  President  or  by 
Ihe  Secretary  upon  die  written  request  of  four  (4)  members  of  the  Board  of  Governors  or  Tifieen  (IS) 
memben  of  the  club.  Notice  of  all  meetings  shall  be  mailed  to  each  member  of  the  club  at  least  Tive  days 
prior  lit  each  meeting. 

Section  2.  Fifteen  percent  (1$%)  of  Ihe  members  of  the  club  entitled  to  vote  shall  constitute 
•  quorum  for  Ihe  transaction  of  Ihe  business  at  all  meetings.  Only  members  present  at  the  meeting  shall 
be  entided  one  vole  on  all  nutters,  except  for  Ihe  election  of  the  members  of  the  Board  of  Governors. 
Before  a  member  shall  be  entitled  to  vole,  he  must  have  paid  all  his  indebtedness  lo  the  club  for  which 
he  has  l>een  billed. 

Section  3.  The  order  of  business  at  annual  meetings  shall  he  as  follows  lo  wit: 

1.  Roil  Call. 

2.  Reading  of  Minutes. 

3.  Report  of  Committees. 

4.  Report  of  OfTicers. 

5.  General  Business. 

6.  Election  of  three  (3>  memben  lo  the 
Board.  Robcitt  Rules  of  Order  shall 
apply  to  all  meetings  except  as  otherwise 
provided  by  these  By-Laws. 


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Ill 


ARTICLE  IX 

CONTRACTS  AND  INDEBTEDNESS 
Section  t .  Tlie  Officers  and  Doard  of  Governors  may  incur  obligations  or  indebtedness  on 
behalf  of  the  club  in  an  amount  not  to  exceed  $50,000.00  at  any  one  lime  for  operating  expenses  above 
the  budgeted  net  receipts  of  the  club.  Any  indebtedness  incurred  in  excess  of  that  amount  for  operating 
expenses  or  any  obligation  or  indebtedness  above  the  budgeted  net  receipts  of  the  club  for  capital 
improvements  must  be  approved  at  an  annual  or  special  meeting  of  (he  club  members  by  a  majority  of 
all  members  entitled  to  vote.  Advice  that  such  authority  will  be  sought  and  of  the  purpose  of  the 
expenditure  shall  be  given  in  the  notice  of  such  annual  or  special  meeting  of  the  club  mcml>ers. 

ARTICLE  X 

AMENDMENTS 
Section  I .    These  Dy-Laws  may  be  altered  or  amended  at  any  annual  or  called  meeting  of  the 
club  by  a  rwo-thirds  (2/3)  afFirmaiive  vote  of  the  members  present;  provided,  iwtice  of  the  proposed 
changes  of  (lie  By-Laws  shall  be  set  out  in  such  notice. 


BERRY  HILLS  COUNTRY  CLUB 
RULES 

Any  member  found  violating  any  of  these  rules  shall  be  subject  (o  disciplinary  action  by  the 
Doard  of  Directors  including  but  not  limited  to  suspension  of  club  privileges  or  permanent  dismissal  from 
the  Club. 

HOUSE  RULES 
USE  OF  CLUB  HOUSE 

1.  The  Club  House  will  be  opened  every  day  of  the  week,  except  on  Monday,  al  8:00  a.m.  It  will  be 
closed  Moiulay  except  by  special  arrangement  with  (lie  Doard  of  Govcniors. 

2.  Cars  must  not  be  parked  in  the  front  circle  nor  on  the  drive  between  (he  wes(  parking  lo(  and  (he 
main  road.  Anyone  violating  this  rule  will  be  charged  $25.00  for  each  offense.  These  charges  will  be 
put  on  the  member's  monthly  bill. 

3.  Members  and  guest  of  members  are  expected  to  conform  to  standard  of  dress  generally  acceptable 
to  the  membership,  at  all  limes.  Gentlemen  are  to  wear  Jackets  after  5:30  p.m.  on  the  main  door 
of  the  Club  House  as  well  in  the  Formal  Dining  Room  unless  they  are  advised  to  the  contrary. 
Dathing  suit  attire,  jeans,  cut  offs,  etc.  are  not  permitted  in  the  grill  or  television  room,  or  anywhere  on 
the  main  floor.  Hats  and  caps  are  not  permitted  in  die  grill  or  television  room,  or  anywhere  on  the  main 
floor.  Coir  Shoes  with  cicated  soles  must  not  be  worn  on  the  main  floor  or  main  stairway.  Shirts 
with  collars  are  required  in  all  areas  of  the  club  house,  except  children  12  and  under  will  be  permitted 
to  wear  T-shirts  with  sleeves  (no  tank  tops). 

4.  In  the  Formal  Dining  Room  high-chain  will  not  be  available  and  menu  variations  arc  not  permitted. 

5.  Members  and  guest  of  members  are  expected  to  conduct  themselves  properly  and  with  consideration 
for  (he  rights  of  other  members  of  the  club  when  using  the  club's  facilities. 

6.  Members  and  their  guests  are  prohibited  from  tipping  employees  in  any  way.  Violation  of  this  rule 
will  be  grounds  fur  action  up  to  and  including  termination  of  club  membership. 

7.  Members  shall  not  reprimand  employees.  All  complaints  and  suggestions  regarding  unsatisfactory 
service  or  facilities  should  l>e  made  tu  the  General  Manager  or  in  writing  in  House  Coinmiiiee. 

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112 


8.  Memlwrrs  must  pay  for  any  club  properly  broken,  damaged  ur  removed  by  dicmsclvesurihcir  guests, 
and  arc  responsible  for  all  charges  by  ilieir  non  member  guests. 

9.  Members  are  expected  to  comply  with  the  spirit  of  llie  laws  against  gambling.   Where  games  of  a 
purely  social  nature  are  played,  significant  stakes  are  prohibited. 

10.  Children  under  the  age  of  sixteen  years  are  not  permitted  in  tlie  adult  locker  room,  unless  they  are 
under  tlie  direct  personal  supervision  of  a  parent,  and  never  at  the  inconvenience  of  another  member. 

1 1 .  Pels  will  not  be  permitted  in  tlie  Club  House  or  around  the  swimming  pool  at  any  lime. 

12.  The  unautliorized  use  of  fireworks  or  other  such  devices  in  or  around  the  Club  House  will  not  be 
tolerated. 

13.  Take  out  sales  of  food  and  beverages  are  pruhibiled. 

14.  1'licre  will  t>e  a  $100  penally  assessed  against  ineml>ers  who  do  not  Tile  the  necessary  form 
cimtcrning  noii-meml»cr  income.   This  form  is  rc<|uiicd  for  panics  of  eight  (8)  or  more. 

15.  Tliere  will  be  a  nonsmoking  area  designated  in  the  Formal  Dining  Kooin. 

PRIVATE  PARTIES 

1.  Club  facilities  will  be  available  for  private  panics  only  when  they  arc  sponsored  by  members,  who 
must  accept  ultimate  responsibility  for  all  charges  arising  from  the  function,  and  for  the  conduct  of  the 
guests. 

2.  No  part  of  the  Club  House  will  t>c  turned  over  to  private  enlcnainmeni  except  by  the  arrangement 
of  the  member  with  the  (ieneral  Manager.  Approval  of  the  Doaid  of  (iovcrnors  may  \k  re(|uired  for  very 
large  private  panics,  ami  such  panies  will  noi  l>e  permitted  on  holidays  or  on  weekends  when  heavy  use 
of  club  facilities  by  the  general  tuembcrship  is  expected. 

3.  A  minimum  charge  will  Ite  made  for  the  exclusive  use  of  any  pan  of  the  Club  House  for  any  private 
function.  I'he  charge  will  depend  on  tlie  ponion  of  the  club  reserved. 

4.  When  panies  exicnd  beyond  their  scheduled  lime,  an  additional  charge  will  be  levied  to  cover  the 
extra  cost:   SIOO.OQ  per  hour  after  11:00  pm. 

5.  Private  Panies  of  nine  or  more  will  lie  assessed  20%  on  all  food  and  bar  checks. 

MEALS 

1.  Food  service  will  be  available  at  the  Club  House  whenever  it  is  open,  according  to  a  seasonable 
schedule  which  may  vary  from  mon(h-lo-monih.  Tliese  schedules  will  be  printed  in  the  club's  montlily 
newsletter. 

2.  An  assessmeni  of  IS  petceni  will  be  made  on  all  dining  room,  grill  room  and  bar  checks. 

3.  A  minimum  charge  will  be  made  for  fond  for  each  Regular  Family,  Single,  Junior,  Junior  Family, 
Associate  and  Retired  Member.  The  minimum  charges  fur  (lie  above  categories  will  he  SI 30.00  per 
quarter. 

4.  No  fiKKl  or  liquor  brought  in  from  outside  the  club  may  be  consumed  on  club  premises  except  by 
S|>ecial  arrangement  with  Club  Manager. 

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113 


DINING  ROOMS 

I.  All  Dining  Areas  will  be  open  for  dining  iccording  lo  seasonable  schedules  which  are  printed 
monlhly  in  Club  Newsleder. 

LOCKER  ROOMS 

1 .  Application  for  lockers  shall  be  made  in  the  office.  Lockers  will  be  rented  only  by  the  year,  payable 
in  advance  on  April  1st.  Lockers  will  not  be  rented  in  the  men's  and  women's  main  locker  room  lo 
persons  under  16  years  of  age. 

2.  The  men's  locker  room  will  have  an  attendant  on  duly  from  1 1:0()  a.m.  to  9:00  p.m.  every  day 
except  Monday,    l^lcr  service  can  be  arranged  for  in  advance,  by  contacting  the  office. 

GUESTS 

1.  Members  may  entertain  non-resident  guests  on  (he  golf  course,  on  the  tennis  courts  and  at  the 
swimming  pool,  at  any  time  the  club  is  open,  upon  registration  of  the  guest  at  the  facility  involved.  A 
guest  fee  will  be  charged  lo  the  host  member  of  such  use.  Out-of-tuwn  guests  may  also  attend  club 
entertainments,  where  they  will  be  charged  the  same  fees  as  a  member. 

2.  The  entertainment  of  guests  from  the  resident  membership  area  by  members  is  subject  lo  certain 
restrictions.  The  Golf  Rules,  Tennis  Rules  and  Swimming  Rules  contain  the  restrictions  applicable  to  tlie 
use  of  those  facilities.  Whether  or  not  club  entertainments  are  open  to  local  guests  will  be  decided  on  a 
case  by  case  basis.  Where  no  specification  is  made,  the  event  may  be  presumed  to  be  open  to  such 
guests. 

3.  Members  may  entertain  guests  at  meals  without  payment  of  any  fee  in  addition  to  tlie  price  of  the 
meal,  except  as  noted  under  Private  Parties. 

4.  Any  Resident  Memlicr's  house  guests,  who  do  not  themselves  reside  within  the  Resident  membership 
limits,  may  be  granted  the  privileges  of  the  club,  subject  to  approval  by  the  House  Committee  and 
payment  of  non-resident  guest  fees.  Members  are  required  to  register  every  such  person  introduced  by 
them  as  a  visitor.  Tlie  office  will  issue  such  guests  a  guest  card  for  identification.  Only  one  guest  card 
will  be  issued  to  any  one  individual  in  a  calendar  year.  Members  may  also  obtain  the  same  rights  for 
other  guests  from  outside  the  Resident  Membership  area  for  periods  of  up  lo  two  weeks,  subject  to  the 
condition  listed  above.  Members  are  at  all  times  responsible  for  tlie  conduct  and  accounts  of  their  visitors. 

SWIMMING  POOL  RULES 

The  rules  below  must  be  obeyed  by  all  members  so  we  can  operate  the  pool  for  the  maximum 
enjoyment  of  all  members,  and  above  all  operate  it  with  the  highest  degree  of  safety. 

1 .  Children  under  9  years  of  age  may  not  be  left  at  the  pool  without  supervision  except  with  permission 
of  the  lifeguard.   Lifeguards  are  not  employed  as  babysitters,  but  for  the  safely  of  all  members. 

2.  Glassware  of  any  kind  is  NOT  permitted  in  the  pool  area. 

3.  Paper  cups,  plates,  etc..  must  be  placed  in  refuse  cans. 

4.  The  regular  duty  hours  for  lifeguards  is  1 1 :00  am  to  7:00  pm 

5.  Swimmers  in  bathing  suits  must  NOT  visit  die  Club  rooms  and  Pro  shop. 

6.  Doistcrous  conduct  and  unsafe  use  of  die  diving  boards  is  absolutely  prohibited. 

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114 


7.  Childien  under  16  years  of  age  are  not  pennitled  lo  use  the  men's  and  ladies'  golf  locker  room  but 
must  use  pool  locker  rooms. 

8.  Club  bath  towels  are  NOT  permitted  at  the  pool  or  in  the  pool  locker  rooms. 

9.  The  lifeguards  are  charged  with  the  enforcement  of  these  rules  and  have  the  authority  to  order 
anyone  from  the  pool  area.   Violation  of  any  of  tiie  niles  will  be  referred  lo  die  Dnard  of  Governors. 

10.  A  guest  fee  shall  he  charged.  All  members  must  register  guests  upon  arrival  at  the  pool.  No  guest 
shall  l)e  allowed  at  pool  unless  accompanied  by  a  member. 

11.  Appropriate  swimming  allire  is  required. 

TENNIS  RULES 

1 .  Members  may  entertain  on  the  tennis  courts,  guests  who  do  not  live  within  Residential  Membership 
limits,  upon  payment  of  a  fee  of  $2 .00  for  each  guest.  Members  may  entertain  guests  who  reside  within 
Residential  Membership  limits,  upon  payment  of  a  fee  of  S2.50,  but  such  guests  may  not  be  entertained 
more  than  ten  limes  year.  Before  play  is  commenced  the  names  of  all  such  guests  much  be  registered  at 
the  Club  Manager's  office,  the  Tennis  Professional,  or  other  person  on  duly  al  courts  by  the  member 
entertaining  Ihem;  otherwise  the  fee  will  be  wiilMjrawn.  It  is  the  personal  responsibility  of  the  host 
member  to  assure  that  the  guest  is  properly  registered  and  accompanied  by  a  member. 

2.  Players  must  wear  regulation  tennis  shoes  with  soft  rubber  soles  and  no  heels. 

3.  Tlie  courts  will  be  reserved  for  d^e  use  of  adults,  or  for  juniors  playing  with  adults,  on  weekdays 
until  noon.  Any  other  restrictions  in  use  of  die  courts  will  be  determined  by  dre  Tennis  Cnmmillee,  or 
the  Tennis  Tiufessional  and  will  be  posted  al  the  courts. 

4.  When  all  available  courts  are  in  use,  and  members  are  wailing  lo  play,  players  must  give  up  their 
court,  at  the  completion  of  one  set.  Un<ler  such  conditions  duce  set  must  be  ended  upon  comple'ion  of 
die  twelfUi  game  by  die  play  of  a  lie  breaker. 

3.    To  maintain  a  proper  standard  of  appearance,  it  is  desirable  for  players  lo  wear  suitable  tennis  attire. 

6.  Tlie  use  of  any  courts  may  be  restricted  at  any  time  by  ihe  Tennis  Professional.  Grounds 
Superiniendenl.  General  Manager,  or  by  die  Commiiiee  when  it  is  deemed  necessary  on  account  of  work 
to  be  done,  tournament  play,  conditions  of  courts,  etc. 

7.  During  the  lime  when  die  Tennis  Professional  is  on  duty  he-she  shall  have  die  audiority.  and  it  will 
be  his-her  duly  lo  enforce  all  rules.  At  other  limes  this  shall  be  die  responsibility  of  die  General  Manager 
and  die  Tennis  Committee. 

8.  All  persons  on  die  tennis  uiurts  are  expected  lo  observe  the  rules  of  tennis  eiiquelie. 

/ 

9.  A  hullelin  board  will  be  located  at  Ihe  tennis  courts  for  special  items  regarding  use  of  die  courts. 

If  any  such  bulletins  conflict  widi  the  foregoing  rules,  die  bulletin  board  will  have  precedence. 

10.  Players  will  not  be  permitted  on  tennis  courts  prior  lo  ROO  a.m.  because  of  daily  maintenance  of 
courts.  Courts  closed  from  noon  lo  1:00  p.m.  for  routine  maintenance. 


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115 
GOLF  RULES 

DAYS  OF  PLAY 

The  golf  course  is  open  fruni  8:00  a.m.  until  sunset,  Tuesday  through  Sunday,  with  the  exception  of 
Memorial  Day,  July  Fourtli,  ami  Labor  Day  weekends  when  the  Club  and  golf  course  may  be  open  on 
a  Monday.  (Course  hours  will  vary  according  to  season.) 

Flay  shall  not  commence  on  any  portion  of  the  course  without  clearance  from  the  Pro. 

RULES 

1.  Guests  may  play  golf  only  if  accompanied  by  host  members.  Members  must  pay  for  any  club 
properly  broken,  damaged  or  removed  by  lliemselves  or  their  guests,  and  are  responsible  for  all  charges 
by  their  non-meml)er  guests. 

2.  Members  shall  register  their  guests  in  the  Guest  Book  at  the  pro  shop. 

3.  Associations  or  Groups  must  apply  to  ilie  Golf  Chairman  for  permission  of  its  members  to  use  the 
golf  course,  and  such  applications  are  subject  to  approval  by  the  Board  of  Governors. 

4.  Members  are  limited  to  three  (3)  guests  wiihoul  prior  approval  of  the  golf  committee.  Tliere  must 
be  a  member  playing  in  any  group  of  guests  not  considered  an  outing. 

5.  Guests  are  permitted  to  play  only  (2)  times  per  month,  not  to  exceed  (10)  times  in  a  calendar  year. 
This  restriction  applies  even  though  llie  guest  may  lie  hosted  by  more  than  one  member. 

6.  Members  shall  not  reprimand  employees.  All  complaints  and  suggestions  regarding  unsatisfactory 
service  or  facilities  should  Ik  made  to  (he  General  Manager  or  in  writing  to  Mouse  Committee. 

7.  Green  fees  and  can  fees  for  o\itings  of  more  than  thiny-six  (36)  will  be  higher  than  those  charged 
regular  members.  Funds  generated  by  these  outings  are  dedicated  toward  (lie  resurfacing  of  tlie  back  nine 
cart  paths. 

GENERAL  RULES 

A.  Groups  of  more  than  four  players  will  NOT  be  permitted  at  any  time  unless  the  Golf  Professional 
determines  (hat  a  Tivesome  will  no(  interfere  widi  the  pace  of  play. 

B.  Noiiplaying  children  must  not  be  on  the  golf  course  during  busy  golfing  periods  even  when 
accompanied  by  an  adult  and  never  at  the  inconvenience  of  another  member. 

C.  It  is  expected  (hat  all  groups  will  start  on  No.  1  lee  after  registering  witli  the  Pro  Shop.  Players  may 
be  allowed  to  tee  off  on  number  10  after  9  a.m.  with  the  approval  of  (he  Golf  Professional. 

D.  Golf  players  shall  dress  in  keeping  with  (he  best  interests  of  all  concerned  while  playing.  Shirls 
with  collars  must  be  worn  at  all  times.  No  Jeans  or  cut  off  Jeans.  If  shorts  are  worn,  Bermuda  length 
shorts  are  the  rule.    No  tennis  or  other  type  inappropriate  style  shods  are  allowed. 

E.  Each  golfer  is  expected  to  respect  the  rules  of  (he  Golf  Committee  and  (o  keep  the  golf  course 
attractive  and  to  practice  proper  golf  etiquette.  Members  are  expected  to  keep  litter  off  the  golf  course. 
repair  ball  matks,  take  traps,  replace  divots,  and  abide  by  all  golf  cart  rules. 

F.  The  Golf  Professional,  Golf  Course  Superintendent,  and/or  Golf  Committee  shall  have  discretion  in 
■II  matters  not  covered  by  these  rules. 

(M) 


116 


C.   Golf  carts  will  be  available  for  rental  on  days  of  play  from  lime  the  pro  shop  opens  until  7:00 
p.m. 

H.  Golfers  shall  refrain  from  driving  into  groups  ahead  of  them  and  stow  groups  that  will  not  let 
faster  groups  play  through  shall  be  reported  to  the  golf  shop. 

I.     Slower  groups  shall  allow  faster  groups  to  play  through. 

|.  All  iiersons  under  18  years  of  age  are  considered  junior  players  and  must  pass  a  Rules  and 
Etiquette  test  as  well  as  a  playing  ability  lest  before  being  permitted  on  the  course  or  the  driving 
range  when  each  is  available  for  use  by  ihe  general  membership.  )uniors  who  have  passed  these 
tests  will  l)e  considered  approved  junior  players  and  shall  be  permitted  lo  use  the  golf  course  and 
driving  range  when  each  is  available  for  use  by  the  general  membership.  I  lowever,  an  approved 
junior  players  access  lo  ihe  golf  course  may  be  limited  by  the  Golf  Professional  and/or  the  Golf 
Committee. 

K.  Unapproved  juniors  may  only  play  with  an  adult  member  after  5:00  p.m.  on  days  the  club  is 
open  or  with  the  approval  of  the  Golf  Professional.  Unapproved  juniors  may  use  the  driving  range 
facilities  when  accompanied  by  an  adult  member  during  normal  operating  hours. 

L.  Retired  members  ire  pcnnitted  lo  play  on  weekends  after  1 :00  p.m..  or  fullowing  the  lalesi  lee  lime. 

M.  Pull  carls  are  not  permitted  on  the  golf  course  at  any  lime. 

N.   These  rules  will  be  strictly  enforced. 

CART  RULES 

1 .  No  one  shall  he  allowed  at  anylime  to  rent  or  operate  a  golf  can  widumi  possessing  a  valid  drivers 
license. 

2.  Golf  carts  are  lo  be  relumed  lo  the  pro  shop  in  iJie  same  condition  as  they  were  when  rented. 
Membcis  are  responsible  for  any  and  all  damage  done  to  lite  can  during  tlieir  use. 

3.  Golfers  shall  obey  all  daily  rules  regarding  use  of  llie  cans  on  ihe  course. 

4.  Upon  presentation  of  a  cuneni  physicians  letter  for  medical  reasons,  a  member  may  be  exempt  for 
the  'cart  path  only  rules*.  This  exemption  will  be  granted  by  the  chairman  of  the  grounds  commillee. 
Cans  used  by  'exempt  members'  will  be  marked  by  i  red  flag.  Because  of  course  conditions  this 
privilege  is  at  the  discretion  of  the  Grounds  Superintendent. 


(15) 


117 


BERRY  HILLS  COUNTRY  CLUB  MEMBERSHIP 

Name  Spouse's  Name  Member  Status 


Dr.  Arlhor  Ahptanalp 

1517  Thomai  Circle.  Chirlcsinn.  WV  25314 


(Fae) 


Wlltlam  AntmUt  (Ixraltc) 

1450  UiMlen  Hcifhu  RokI.  Chiileston.  WV  25314 

Rkhard  Adams  (Uia) 

52  Meadowcrest  Drive.  Parkersbutg.  WV  26101 

Wnib  R.  Adami  (Neta  Jo) 

511  Dabrtcy  Drive.  Chaileslon.  WV  25314 

Willis  E.  Adams.  II  <Carol) 

144  Edtewaler  Lane.  Tornado.  WV  25202 

Dr.  Adia  AdI  (Vanliha) 

1568  Nodingham  Road.  Charleston.  WV  25314 


Clark  Adklns 

8  Shannon  Place.  Charleston.  WV  25314 


(Robin) 


John  Alderman  (I^Tnn) 

80  Abney  Circle  Road.  Charleston.  WV  25314 

Dr.  R.  David  Allara 

1622  Virginia  Si  East.  Apt  C.  Cliarleston.  WV  2531 1 

Charits  Aliard  (Barbara) 

406  Sheriden  Circle.  Charleston.  WV  25314 

Mn.  JoH  (roily)  Aitrn 

1403  Bedford  Road.  Charleston.  WV  25314 

Mrs.  IjtTTj  Andrevrs  (Beatrice) 

2709  Deseret  Drive.  Charleston.  WV  25302 

Paul  E.  ArboK«<l  (Dnnna) 

42  Coventry  Ridge  Road.  South  Charleston.  WV  25309 

Dr.  Constantino  Arceo  (FJIr^bcth) 

4608  Kanawha  Ave.SE.  Charleston.  WV  25304 


Edward  C.  Armbretht 

907  Chestnut  Road.  Charleston.  WV  25314 


(Calvert) 


Kevin  James  Arnold  ^  (IJnda) 

21 16  Glenrieki  Terrace.  Sndlli' Charleston.  WV  25303 

Joseph  E.  Atkins,  DDS.  (Rrrrianne) 

PO  Box  174.  Madison.  WV  25130 

K.  Franklin  Austin  (Cheryl) 

708  Kanawha  BNd  W..  Chaileslon.  WV  25302 


Social 

Senior 

Non-RcsMenI 

Family 

Family 

Family 

Family 

Family 

Family 

Family 

Associate 

Social 

Family 

Family 

Family 

Family 

Family 

Family 


LIST 

Phone  Nuinlwr 
3433648 
343-7409 
485  3174 


342  3310 


7222205 


744-9892 


345-7863 


345-0125 


346-1576 


3436772 


346  1474 


343-0025 


744-5877 


925-6771 


346-7463 


3460336 


369  2112 


346  1344 


(l«) 


118 


Jamc*  B.  Ball 

PO  Box  33.  Arbovale.  WV  25341 

Ralph  Ballard  (Drbbic) 

217  Trap  Post  Road.  Charleston.  WV  2S309 


J»mn  n.  Barlich,  Jr. 

16  Rae  Place.  Charleston.  WV  23314 


(Bonnie) 


DarM  Bauer  (Calherliic) 

1404  Meadowcre<tt  Drive.  Charleston.  WV  23314 

James  A.  Beck,  Jr.  <IJsa) 

73  Tanglewood  Drive.  Danville.  Wv  23303 

Alex  Meade  Belcher  (l>el>Me) 

f  I  Swarlhmore  Ave.  Charleston.  WV  23302 

llarrr  F.  Bell.  Jr.  (Carrie) 

12  Hamilton  Place.  Charleston.  WV  23314 

Alan  R.  Bcmsieln  (Audrey) 

1340  Johnson  Road.  Charleston.  WV  23314 

BrenI  A.  Best 

1 176  Emerald  Road.  Charleston.  WV  23314 

Terry  Be<hH  (Past;) 

1 10  Olde  Ash  Une.  Charleston.  WV  2331 1 

Boh  BtkB  (Sosan) 

1402  Swcctbrier  Road.  Charleston.  WV  25314 

Darren  Kevin  Bofsess  (Khn) 

200  ninlhKk  Road.  Charleston.  WV  23314 


Family 

Family 

Family 

Family 

Family 

Family 

Family 

Family 

Junior 

Family 

FamBy 

Family 


4564320 


744-3207 


346-0113 


344-J722 


369-3103 


344-92SI 


3426300 


342-6812 


342-OM2 


346-4S26 


744-9«9l 


Frtdericli  L.  Bom(s 

f  1  Kori  Road.  Charleston.  WV  23304 

(Roth) 

Social 

124  East  Ridge  Road.  Charleston.  WV  23314 

(Drnitr) 

Fmillj 

Wimam  W.  Booker 

1924  Parkwood  Road.  Charleston.  WV  25314 

(Mary) 

.Social 

AMiln  Bosv>rll,  II 

PO  Boi  1 1 234.  Charleston.  WV  25339 

(Marsha) 

Family 

Mike  BoHSlany                                                     (.Sara  IMh) 
4702  Kanawha  Avenue.  SE..  Charleston.  WV  25304 

FamUy 

Kenneth  P.  Bowen                                            (Jranctlc) 
211  E.  Coventry  Woods.  South  Charleston.  WV  23309 

Family 

Thomas  N.  Braaarlle.  Jr. 

(Susan) 

Family 

1619  Clark  Road.  Charleston.  WV  25314 


Rmcr  A.  Braun 

1307  Dogwood  Road.  Charleston.  WV  23314 


925-2300 


342-6200 


342  3024 


342-0325 


925I68S 


744-1022 


344-3436 


3427423 


119 


Roy  M.  nnwcr,  II 

31 S  Green  Acres.  Hurricane.  WV  25526 


7J7-IJ57 


ainton  A.  Briler,  Jr.MD  (Dorh) 

10  A  W  Columbia  Sireei.  Wrighisville.  Beach.  NC  28480 

William  K.  nrolhriion  (Meica) 

1332  Morningside  Drive.  Chailcxion.  WV  25314 

.Sam  ItroTcrman  (Carolyn) 

801  Louden  Heights  Road.  CharlcMon.  WV  25314 


FimMy 

342-4975 

Family 

343  2781 

Family 

344-3034 


Brenda  Brown 

107-A  Morris  Street.  Charleston.  WV  25301 


Social 


343-3588 


James  F.  Brown.IV  (Palll) 

1503  Coventry  Lane.  Charleson.  WV  25314 


Social 


744-3331 


Karl  II.  Brown,  Jr.  (FeeRy) 

515  Woodcliff  Road.  Charleston.  WV  25314 


Family 


768-3929 


Norman  Bsharah  (Rosemary) 

425  McKinlcy  Avenue.  Charleston.  WV  25314 


Social 


346-7764 


Guy  Richard  Burci 

I  Gat  Creek.  Charclston.  WV  25314 


(Unda) 


Family 


l.A,.  Burns  (Annabel) 

1507  Chafton  Road.  Charleston.  WV  25314 


Senior 


343-3522 


John  r.  Busconl  (Fhyllls) 

2134  Presidential  Drive.  Charleston.  WV  25314 

Or.  Stephen  11.  Bush  (MarKi) 

4400  Kanawha  Avenue  SB.  Charleston.  WV  25304 


James  L.  Cabell 

35  Carriage  Road.  Charleston.  WV  25314 


(Maggie) 


Family 

342-0557 

Family 

925-9129 

Family 

343-8163 


liorl  Caldwell 

2005  Northwood  Road.  Charleston.  WV  25314 


343  3302 


Robert  A.  Campbell 

203  Walker  Drive,  Dunbar.  WV  25064 

Fllwood  Canada  (Mary  Frances) 

4009  Virginia  Ave.SE.  Charleston.  WV  25304 

l)r.   Rkhard  CapHo  (Mary  Ann) 

1097  Fledderjohn.  Charleston.  WV  25314 


Jr  ./Inter. 


Htto  Carter,  |r. 

PO  Box  399,  Insliluir,  VW  25112 


(Phyllis) 


|ohn  Cavacini 

1621  Virginia  Street,  tasi,  Charleilon.  WV  2531 1 

Dr.  lerill  Cavender  (lean) 

900  S|King  Road,  Charleston,  WV  25314 


766-7168 

Family 

925-0137 

Famay 

746-0400 

Social 

768-576  J 

Family 

344-2623 

Family 

344-2136 

(im 


120 


H.  Trumin  Chafin 

Box  1799,  Willidnison,  WV  25(.6I 

Dr.  Ki«horr  Challa  (|acj) 

123  EjsI  RkIrc  Road.  Charleslon,  WV  25314 

Robert  Chcnowelh,  |r.  (Marjoric) 

Rl  f)  Box  29f>  D,  Cliarleslon,  WV  25311 

Willie  M.  Childress,  O.D.  (Barbour) 

I  5.i(l(llpl)rpd  lane,  Soulh  Charleston,  WV  25309 

C.  Wayne  Chrislian  (Amanda) 

1509  Royal  Oaks  Road,  Charleston,  WV  25314 

|ohn  C.  Cipolelli  (Nancy) 

10f>7  Green  Meadow  Road,  Charleston,  WV  25314 

John  Clayton,  Jr. 

899  Sherwood  Road,  Charleston,  WV  25314 

B.  Diane  Clements 

301 )  Virginia  Avenue,  Charleston,  WV  35304-1 109 

Amy  Clendcnin 

2709  lakevirw  Drive,  SI.  Albans,  WV  25177 

Michael  Cline  (Carole) 

1531  Dixie  Street,  Charleston,  WV  25311 

Robert  D.  Cline,  |r.  (IJij) 

PO  Box  3394,  Charleston,  WV  25333 

Mrs.  Robert  j.  Clubb 

I I  Brittany  Woods,  Charleston,  WV  25314 

lames  Cochrane  (Kim) 

501  Edgcwood  Road,  Hurricane,  WV  25526 

Leonard  S.  Coleman 

5  Granville  Drive,  Elkvicw,  WV  25071 

Wayne  Coleman  (Caroline) 

804  Cordon  Drive,  Soulh  Charletlon,  WV  25303 

Michael  Comer  (Kim) 

2026  Parkwood  Road,  Charleston,  WV  25314 

Clyde  B.  Conner,  )r.  (Maxine) 

1305  louden  HeiRhit  Rd.,  Charleston,  WV  25314 

David  P.  Cook  (Roberta) 

1985  Parkwood  Roarl,  Charleston,  WV  25314 

Michael  Cooper 

2305  Adams  Ave  #18,  Munlinglon,  WV  25704 

Robert  Cope 

742  Rnxalana  Hills,  Dunliar,  WV  2S064 

ludge  John  Copenhaver  (CamUle) 

601  linilen  Road,  Charleston,  WV  25314 


Non-Residcnt 

Ir/lnter. 

Social 

Family 

Family 

Family 

Family 

Social 

Family 

Social 

Family 

Family 

lunior 

Family 

(unior 

IrTlnter. 

Senior 

Family 

Non-Retident 

Junior 

Family 


2356123 


345-7776 


346-2532 


744  2743 


342-0154 


344-9243 


342-6256 


343^)590 


727-3652 


345-8690 


3454)410 


345-6021 


562-0071 


965-6880 


744-4965 


3439685 


346-9538 


345-1675 


429- 1 507 


766-6850 


347  6610 


121 


Ch*rlr«  t).  CriRRcr,  M.I).  (Mary) 

2UJ  Pfcsidcniial  Dfivr,  CI>jflr»lon,  WV  25314 

Mary  Crile* 

307  26lh  Sircci,  SE,  Chartcslon,  WV  25304 

Dr.  Clen  Crotly,  |r.  (Kalhy) 

»5  Brillany  Woods.  CharleMon,  WV  25314 

Rick  Crotly 

1500  Bridge  Roa<I.Apl.2n,  Charlcslon,  WV  25314 

Billy  |oc  Crum,  |r.  dttn) 

1948  Parkwood  Road,  Charleslon,  WV  25314 

Lillian  Crure 

1512  Dogwood  Road,  Charleston,  WV  25314 

Or.  |an  H.  CunninRham  (VIcki) 

4404  Kanawha  Ave  ,SE,  Charleston,  WV  25304 

FraiKii  M.  Cumulte,  III 

1545  Clark  Road,  Charleston,  V/V  25314 

Robert  I.  Cumulte,  Sr.  (Helen) 

Post  Orrice  Box  6024,  Columbia,  MO  625056024 


r^mily 


346  600) 

Senior 

346-2506 

Family 

342-6306 

Family 

342-3033 

Family 

343-3B32 

Associate 

346-3834 

Family 

925-5834 

Family 

345-3442 

Non-Resident 

286-4204 

Arden  |.  Curry,  II 

1251  Edgewood  Drive,  Charleston,  WV  2S302 

Joseph  Anthony  C/ul  (Jeanine) 

705  Myrtle  Road,  Charleston,  WV  25314 

Norman  T.  Daniels,  |r.  (Belh) 

2137  Presidential  Drive,  Charleston,  WV  25314 

Hal  I.  Oamold  (Beverly) 

1405  Longridgc  Road,  Charleston,  WV  25314 

Dennis  Davis  (Sandy) 

1514  Coventry  lane,  Charleston,  WV  25314 

Catherine  OePaulo 

fRB  Grosstiip  Roa<t,  Charleston,  WV  25314 

Dr.  W.  Alva  Dcardorff  (Page) 

1417  Robin  Flood  Road,  Charleston,  WV  25314 

Don  A.  Oechman  (Jonene) 

1222  Ellen  Drive,  So<ith  Charleston,  WV  25303 

Pamela  Deem 

410  Al)hcy  Drive,  Charleston,  WV  25314 

Jerry  Derrick  (Cwyn) 

1330  6lh,  SE.  Charleston,  WV  25302 

Steven  Oeiter  (Trkia) 

7  Stoney  Point,  Charleston,  WV  25314 

Waller  B.  Dial,  Jr.  (Marlene) 

1211  Colonial  Way.  Charleston.  WV  2SJI4 


Family 

Social 

Family 

SocUi 

(Family) 

Socbl 

Social 

FamUy 

Social 

Family 

Family 

Social 


346-4391 


346-3411 


3456666 


343-«255 


744-0064 


342-6420 


744-6008 


342-5542 


346-4r>81 


J43-342I 


(20) 


53-754  99-5 


122 


TItn  OlPlero  (Ch»r»» 

I9ni  r^rkwrMKl  Ro.-«l,  ClurlrMnn,  WV  }'i\}i 

Or.  Harry  DuiKan,  |r.  (Paula) 

A  Hunter  PoinI  Road,  Chatleslon,  WV  25314 

|o?eph  F.  Dunn 

1006  Dell  Way,  South  Charleston,  WV  23309 

Kenneth  M.  Dunn  (Mary) 

1516  Dogwood  Road,  Charleston,  WV  25314 

Charlie  Dusic  (Becky) 

1111  Virginia  Slreet,E.  Charleston,  WV  25301 

Dr.  Kenneth  Dwyer  (Jeanne) 

»14  Brittany  Woods  Road,  Charleston,  WV  25314 

N.  Stanley  Eatlman  (Emily) 

203  Mckinley  Ave.  Fort  Hill,  Charleston,  WV  25314 

Bemie  lller  (Bei,i«) 

763  lower  Donnally  Road,  Charleston,  WV  25304 

Mrs.  lames  (Mary)  Elliott 

1512  Bedford  Road,  Charleston,  WV  25314 

Laura  O.  Ellis 

1504  Lyndale  Drive,  Charleston,  WV  25314 

ElUahelh  (Belly)  EvaiH 

1908  Woodsidc  Circle,  Charleston,  WV  25314 

Stephen  Farmer  ,kj„„, 

1808  Rosewood  Road,  Chvlcslon,  WV  25314 

DanW  W.  FerRwon  QodK) 

1598  Virginia  Street,  E.  Ch«lctlon,  WV  25JM 

WillUm  C.  Field  ,f,^, 

4306  Kanawha  Avenue.  SE,  Charleston,  WV  25304 


Michael  Fioravanle 

430  Tiny  Ridge,  Sumerco,  WV  25S67 


(fenny) 


I.  Victor  Flanagan  (Crela) 

2309  Winchester  Road,  South  Charleston,  WV  25303 

larry  Ford  (Reliecca) 

19  High  Meadow  Drive,  Charleston,  WV  2SJ1 1 


Todd  Forester 

493  3rd  Street,  Madison,  WV  251  JO 

Daniel  S.  Foster 

J  Monticello  Place,  Charleston,  WV  25314 

lames  I.  Fotter 

1628  Berkshire  Place,  Charleston,  WV  25314 

Ford  Francis 

20(>3  Smith  Road,  Charleston,  WV  25314 


(Beth) 

(Kathy) 

(Donna) 

(21) 


FamHy 

3459915 

Family 

J42-4JJ3 

Family 

768-1590 

Family 

342-5743 

Junior 

965-0663 

Family 

345-3807 

Senior 
Family 
Social 
Social 
Social 
Family 
Family 
Famay 
Family 
SocUl 
Family 
Junior 
Family 
Family 
Family 


343-3764 


925-2897 


J4W)059 


345-9279 


J43-08S5 


346-4246 


J440646 


925-3468 


756-JOJ4 


345-2248 


342-1491 


369-5061 


344-1060 


344-2165 


343-27JJ 


123 


Mkhtcl  S.  (ranch 

I  KM)  I  ilH>tlv  Avrniie,  A|ijilnirnl  1 702,  PiHUnnK.  Ppnn    1  iiJ7 

Dr.  Manuel  P.  Franco  (Becky) 

5(16  Edxewooil  Road,  Hurricane,  WV  2SS26 


f .  Richard  Freer 

I7IS  Sierra  Roail.  Charlctlon,  WV  2SJI4 


(tllen) 


George  French  (Rowann) 

IS4  VVhis|}cring  Woork  M..  CharleVon,  WV  23304 

SuMima  Friedman 

316  Monroe  Stccct,  CharlcMon,  WV  2S)0) 

Fredricli  (Mike)  Fri«k  (VickO 

Mil  Noyet  Avenue,  Charleynn.  WV  25)04 

Kevin  Fuhner  (Amy) 

782  Roialana  Hilh  Orive,  Ounbar,  WV  25064 

|oe  V.  Funderburk  Qune) 

•4  Dawn  PUr,  Charlr^on.  WV  25)14 

larry  George 

•)  Bkchircc  lane,  Charletlnn.  WV  25)14 

Shawn  George  (Giwty) 

10  8MJ  lane,  Charletlnn.  WV  25)04 

Dr.  linda  Ccnmiila  (Danle) 

92  Omk  Drive,  Charlciinn,  WV  25)14 


Non-Re«idenl 

412)911625 

Family 

562-7999 

Senior 

)4).|927 

SocUl 

9252992 

hmior 

746-0409 

Family 

925-784) 

|uniOf 

766-7794 

FamHy 

)44-36l6 

SocUl 

)46-)705 

FamMy 

925^0802 

fmOf 

J4)-25I7 


Troy  Gialrat 


(Slephaitie) 


no  Hickory  Hill  Place  f).  CharleMon,  WV  25)14 


Social 


)4)46I0 


Timolhy  |.  Giibom  (Chriiline) 

2146  Piewdeniial  Drive,  Charletton,  WV  25)14 


Family 


)44-9Sn0 


Charlei  CiHiam,  Jr. 

PO  Box  90.  Alicrnani,  Ala.  )5440 


nm 


NOf^mCSiOCfll 


Sidney  CiHii 

18  Wey  Fern  Roail,  CharleMon,  WV  25)14 

Robert  CoMwnilh  (lyrni) 

1528  Dogwood  Road,  CharleUon,  WV  25)14 

PhiNip  (Goodwin  (Pam) 

f )  Woiidt>criy  lanr,  CharlcMnn,  WV  25)04 

Richard  Grant  (Patricia) 

2110  Prnidpnlial  Drive,  Charletinn,  V^  25)14 

Gale  Gray  (Pamela) 

1524  Amumn  Ri>a<l,  CharleMon,  WV  25)14 

Robert  Gray 

4605  MacCorkle  Ave.  SW,  So.  CharleMon,  WV  25)09 


Family 

)4)-)79) 

Family 

)4)-S0)4 

Family 

925-9082 

Fwnily 

)46-7in8 

Family 

)46)125 

rSNNiy 

746-0776 

Victor  N.  Green  (Marjorie) 

607  N.  Brlmonl  Orivr,  Charl«Ion,  WV  25)14 


an 


)4f>-l554 


124 


Cforgf  W.S.  Crovr,  |f.  (Helfn) 

1405  Oodford  Ro»il.  Cluilcslcin,  WV  25J14 

loteph  F.  Cuilfoile  (^ »y*) 

1408  Woodmcrc  Drive,  Charleston,  WV  25314 

George  C.  Colhrie 

4603  Kanawha  Ave.  SE,  CharleMon,  WV  25304 

larry  Haddad  (Debbie) 

925  Ncwion  Road,  Charleston,  WV  25314 

Philip  A.  Haddad  (Coinevee) 

PO  Box  4154,  Charleston,  WV   25364-4154 

Dr.  John  B.  Haler,  |r.  (Rebecca) 

16  DowinR  5t  Clcndenin  Sq.,  Charleston,  WV  25301 

KenI  S.  Hall,  Sr.  (Marie) 

853  tdgewoorl  Drive,  Charleston,  WV  25302 

David  W.  Mall  (Phyllis) 

4657  Washington  St.  W.  Cross  lanes,  WV  25312 

Mn.  R.  Edward  (Eliiabelh)  Hamrick 

401  Fort  Hill  Drive,  Charleston,  WV  25314 

Gregg  W.  Happe  (lynda) 

110  Coventry  Woods,  South  Charleston,  WV  25309-9530 

lames  Harri«  (Ifcby) 

1523  Royal  OaVs  Drive.  Charleston,  WV  25314 

Jennings  Hart  (l*>w) 

1506  Hampton  Road,  Charleston,  WV  25314 

Robert  Norri<  Hatch,  |r.  (Kimberly) 

133  Whispering  Woo<)s  Road,  Charleston,  WV  25304 

Gary  "loe"  Hallield  (Mary) 

101  Woodlwidge  Drive,  Charleston,  WV  2531 1 

David  Hawkins  (Cindy) 

1808  ShadylKook  Road,  Charleston,  WV  25314 

Dr.  Thomas  Morion  Hayes  0»n) 

5  Comstock  Plate,  Charleston,  WV  25314 

wmUm  I.  Hayes  (Becky) 

1416  Berllord  Roarl,  Charleston,  WV  25314 

fslher  l.  Healh 

4907  Virginia  Avenue.  Charleston,  WV  25304 

Richard  Healh  (Bertie) 

1510  Brentwood  Road,  Charleston,  WV  25314 

larry  C.  Healon,  It  (Veronica) 

20  Algon<|uin  lane,  Easton,  CT  06612-0016 

Miie  Hedge  (Julie) 

724  Cha|>pell  Roarl,  Charleston,  WV  25304 

(J3I 


Family 

SocUl 

Social 

Famity 

SocUl 

Social 

Family 

Family 

Social 


Social 


Social 


Family 


Nort-ResidenI 


Family 


340  4313 


344-1442 


9258405 


)4(.5255 


9259645 


3425310 


3433052 


776-4016 


346-2445 


Family 

744-3286 

Family 

342-4511 

Family 

3453429 

SocUl 

925-5050 

Family 

3442029 

Family 

345-5425 

Family 

346-9921 

343-0902 


925-3342 


3467519 


203-459-2610 


125 


A^  PinnjKic  Driv*-,  Cliwk-tKin,  WV 

WillUm  M.  Hcria«r  (AnnI 

I  ]40  Morningtidc  Drive,  OurlcMon,  WV  253 1 4 

lee  O.  Hill  (Angle) 

1629  Stonehenge  Road.  Charleston,  WV  2S314 

Stephen  T.  Holbrooli  (Ann) 

f2  Hilllop  Coud,  Chvlrston,  WV  2S3I4 

lay  Holcomb  (Deborah) 

804  Townscnd  Drive,  Charleston,  WV  25311 

|oe  B.  Holland  (Belly) 

1619  Loudon  Heights  Road,  Charlelon,  WV  25314 

Or.  |A.B.  Holl  Qean) 

1406  Qoincy  Lane,  Charleston,  WV  25314 

Thoma*  R.  Homan,  OVM  (Sandi) 

1410  Bedford  Road,  Charleston,  WV  25314 

Raymond  I.  Hope,  )r.  (Brenda) 

510  South  Fort  Drive,  Charleston,  WV  25314-1057 

Chad  Hovis 

2919  Chesterfield  Ave.  #3,  Charlesotn,  WV  25304 

[dward  Howard,  DOS 

1321  Virginia  Strrrl.Charlcslon,  WV  25301 

Rkhard  I.  Howard,  DOS 

4612  Kanawha  Ave.,  SE,  Charleston,  WV  25304 

Chris  Howal  (Amy) 

1571  Thistlcwood  Circle,  Hurricane,  WV  25526 

David  A.  Hoyer 

1718  ShadylKook  Road,  Charleston,  WV  25314 

Meredith  (Buck)  Hunt  (Cinna) 

606  Bcndvicw  Drive,  Charleston,  WV  253 1 4 

Robert  Hurley  (Nancy) 

1 1 1  McDavid  Lane,  Charleston,  WV  2531 1 

Michael  Husson  (Diana) 

200  Quarry  Ri<lge  fast,  Charleston,  WV  25304 

John  C.  Hutchinson  (Berry) 

19  Norwnofi  Road,  Charleston,  WV  25314 

Richard  Hutter  (Rosalie) 

71  Morningside  Drive,  flkview,  WV  25071 

Alice  Imbrogrto 

326  McKinlcy  Avenue,  Charleston,  WV  25314 

Or,  Ramakrishnan  S.  Iyer  (Chang) 

138  East  Ridge  Road,  Charleston,  WV  25314 


Family 

J4J-2226 

SocUl 

344-5048 

Family 

345-1166 

Family 

342-3341 

lun/lnter. 

346-8140 

Family 

344-2226 

Family 

343-5903 

Social 


Senior 


Social 


NP 


346-5884 

lunior 

344-8902 

Family 

3422259 

Family 

926-2412 

lunior 

757-9562 

lunior 

342-3580 


345-1360 

Family 

342-5331 

Family 

345-5050 

Family 

346-7724 

Family 

%5-7714 

Social 

3449532 

Fam«y 

343-2837 

(24) 


126 


ladle  O.  lacliVMi  (lane) 

J421  New  Ca»llr  Road,  CiMrlcMim,  WV  i-jJM 

Ted  lackion  (M<g) 

29  Carriage  Road,  Charlerton,  WV  25J14 

Oifh  f .  larrell  (Bonnie) 

I  BOS  Smith  Road,  Chartetlon,  WV  25314 

Dr.  Thomas  larrell  (Sally) 

1333  lake  Drive,  Daniels,  WV  25832 

C  Richard  lennings  (Diana) 

314  Gail  Drive,  Charleslon,  WV  25J14 

lohn  lohnslon  (Palrkia) 

42  Carriage  Road,  Charleston,  WV  25314 

ForresI  Jones,  |r.  (Beverly) 

1331  Torlcy  Road,  Charleston,  WV  25314 

Ann  Dick  Jones 

1234  Staunton  Road,  Charleston,  WV  25314 

John  R.  Jones  (Kim) 

23  Coventry  Road,  So.  Charleston,  WV  25309 

Richard  Jones  (Sharon) 

1966  Smith  Road,  Charleston,  WV  25314 

William  T.  Jones  (Eloise) 

1121  Londonderry  Road,  Charleston,  WV  25314 

Dr.  larry  Kalaskey  (Traci  lea) 

856  Rawley  Ave.,  Morganlown,  WV  26505 

Pamela  Kaitdiari 

311  Southpoinle  Dr.,  Charleston,  WV  25314 

T.D.  Kauffell  (lois) 

1407  Connell  Road,  Charteslon,  WV  25314 

WHIIam  T.  Kepple  (Anne) 

1902  Massry  Circle,  So.  Charleston,  WV  25303 

lairy  Kerr  (Darlene) 

1522  Royal  Oaks  Road,  Charleston,  WV  25314 

Robert  B.  King  (Julia) 

4606  Virginia  Avenue,  SI,  Charleston,  WV  25304 

John  O.  Kiier 

2506  Kanawha  Avenue,  SE,  Charleston,  WV  25304 

Kenneth  Kleeman  (Joy) 

1501  Clinlwood  Road,  Charleston,  WV  25314 

Kenneth  Knopf  (Kimberly) 

5309  Morning  Dove  Lane,  Cross  lanes.  WV  25313 


FamRy 

J46-7H8 

SocUl 

343-4407 

Famay 

345-5432 

Nort-ReskJent 

763-2040 

Roherl  Knowles 

I  Deacon  Hill,  Charleston,  WV  2531 1 


(Marysue) 
(25 


Social 

Family 

SocUl 

SocUl 

Family 

Social 

Family 

NorvResWenl 

FamHy 

Family 

Family 

Social 

Family 

Senrar 

Family 

Family 

Social 


345-8883 


342-1714 


344-4565 


346-7840 


345-8005 


344  1407 


598-3846 


NP 


34.1-8147 


744-5024 


343-2172 


344-2637 


127 


Eunice  S.  Krebs 

IS6S  Clark  Road.  Charleston,  WV  2S3I4 


Social 


343-0038 


Rolwrl  M.  Krieg,  UDS 

758  Lower  Donnally  Road.  Charleston.  WV  25304 

WUIiam  Kries,  III 

1 18  Whispering  Woods  Road.  Charleston.  WV  25304 

Dr.  WilUam  Krieg.  Jr. 

2012  Northwood  Rd..  Charleston.  WV  25314 

Rolwrt  E.  Kuhns 

4007  Virginia  Avemie  SE.  Charleston.  WV  25304 

Chandra  M.  Kumar 

2036  Parkwood  Road.  Charleston.  WV  25314 

John  K.  Kuyk,  DDS 

2149  Presidential  Drive.  Charleston.  WV  25314 

Lester  Labus 

1812  Shadybrook  Rd.,  Charleston.  WV  25314 

Larry  LaFon 

104  East  Ridge  Road.  Charleston.  WV  25314 

Gordon  C.  Lane 

9  E.  Fem  Road.  Charleston.  WV  25314 

James  E.  Lane 

41  Quarry  Ridge  Rd..  Charleston.  WV  25304 

Frederick  Lang 

14  High  Meadow  Drive,  Charleston,  WV  25311-9734 

Frank  S.  Law 

I  Wildacre  Road.  Charleston.  WV  25314 

Lee  Lawler,  Jr. 

822  Edgewood  Drive.  Charleston.  WV  25302 

Dr.  Kec  Chin  Lee 

128  Bast  Ridge  Road.  Charleston.  WV  25314 

Richard  11.  Legg 

1973  Parkwood  Road,  Charleston.  WV  25314 

Ruth  Lemmon 

5308  Ashbrook  Rd..  Cross  Lanes.  WV  25313 

Robert  lycurant 

1925  Oakridge  Drive,  Charleston,  WV  2531 1 


(Debbie) 

Family 

925-8019 

(Terri) 

Family 

925^065 

(Naomi) 

Family 

342-2083 

(Martha  Lou) 

Social 

925-3429 

(Mai\|u) 

Family 

343-5348 

(Pam) 

Family 

346-9342 

(Benita) 

Family 

342-2508 

(Evelyn) 

Family 

345-2626 

(Susan) 

Family 

342-4499 

(Lisa) 

Family 

344^)064 

(Sue) 
4 

Social 

346-6336 

(Tanya) 

Social 

343-0415 

(Carolyn) 

Family 

344-8836 

(Joung) 

Family 

345-9961 

(Debbie) 

Family 

344^076 

(David) 

Social 

776-4742 

(Ilnrriet) 

Social 

346-2494 

(26) 


128 


All«nhy  I^wU 

18  Wildacre  Rd.  Charleston,  WV  25314 


(Sliirlcy) 


Family 


344-2005 


Norwin  Lilly 

R«.  7.  Box  27  ID.  Soulh  Charleslon.  WV  25309 


(Donna) 


Family 


756-9413 


David  M.  Lincoln 

1331  Johnson  Road,  Charleslon,  WV  25314 


(Stephanie) 


Jr./Inter. 


342-6662 


William  Lively 

1542  Summil  Drive,  Charleslon.  WV  25302 


(Kalle) 


Family 


343-5857 


David  S.  Long 

914  Ridgcway.  Charleslon.  WV  25314 


(Barbara) 


Family 


343-1133 


R.  ScoK  LonK 

18  Bridlewood  Road.  Charleslon,  WV  25314 


(Sara) 


Jr./Inler. 


344-2845 


GreK  R.  Lord 

717  Amity  Drive,  Charleston.  WV  25302 


(Sharon) 


Family 


343-2323 


Donald  Lncci 

107  Woodshire  Place.  Charleslon.  WV  25314 


(Dclwrah  Copcland)     Family 


346-6466 


Roberl  L.  Ludwig 

209  Commons  Way.  Chapel  Hill.  NC  27516 


(Brill) 


Non-Res 


919-932-4341 


Mark  Mahler 

46  Carriage  Rd..  Charleslon.  WV  25314 


(Debi) 


Social 


342-1004 


Locva  M.  Maki 

1207  Colonial  Way.  Charleston,  WV  25314 


Associate 


342-5613 


Charles  M.  Mallory 

1614  Ridgeview  Road.  Charleslon.  WV  25314 


(Sylvia) 


Family 


342-2634 


I>r  Krk  P.  Manlt 

16  Dunlevy  Road.  Charleston.  WV  2S3I4 


(.Sandra) 


Family 


342-23S3 


Robert  Marlncll 

Rl.  49  Box  82.  Raw!.  WV  2569! 


Non-Rnldnit 


235-5516 


Dr.  John  B.  Markry 

1730  Louden  Heights  Rd..  Charleslon.  WV  25)14 


(Brtty) 


Family 


343-2614 


John  I..  M«rk.<,  Jr. 

4I06Suunlon  Ave.  SE  .  Charleslon.  WV  25)04 


Family 


9254044 


Gerald  R.  Martir 

3)0)  Suuion  Avenue.  SE.  Charleston.  WV  25304 


(Charlmr) 


Family 


343-226) 


Thomas  K.  Manin,  Jr. 

20S  Timber  Trail  Rd  .  Charleston.  WV  25)04 


(Melodir) 


Family 


925  17)0 


Ih*.  Jerome  Masiei^*>ur| 

1127  Monlfose  Dr..  So   Charleslon.  WV  25)0) 


(Sandra) 


Social 


(27) 


129 


Rarhara  MrClrllnn 

31 13  Virginia  Avenue.  SE.  Chatlcsion.  WV  25314 


Family 


344-8800 


Samurl  MrCliinK 

1532  Tennis  Club  Road,  CharleMon,  WV  25314 


(Itonnle) 


Social 


l)a»ld  MrCormlck 

201  Central  Avenue.  Logan,  WV  25601 


Julia  McCormtck 

735  Chappcll  Road.  CharlcMon.  WV  25304 


(Judy) 


Non-Rrsldrnt 


Social 


752-9333 


925-5405 


John  McCiukey  (Anne) 

10  Abney  Circle.  Charleston.  WV  25314 

David  n.  McFarland  (Pamela) 

1401  Hunters  Ridge  Road.  Charleston.  WV  25314 

Rocky  McFarland  (Jane) 

Route  I.  Box  3S-A.  Statts  Mill.  WV  25279 

Scoll  J.  McKlnney  (Rae  Ann) 

9239  »K  Westbury  Woods  Dr.,  Charlotte.  NC  28277 

J.  Kemp  Mcljiuchlin,  Jr.  (Vkkle) 

49  Abney  Circle,  Charleston.  WV  25314 

Rolxrl  McNamara  (FJIeni) 

3  Sloncy  Point  Rd..  Charleston.  WV  25314 

Km  McNeil  (Jane) 

142  Whispering  Wood.  Charleston.  WV  25304 

Clfnn  C.  Mcchllnc  (Unda) 

258  Brentwood  Drive.  Cogan  Station.  PA  17728 

JefTrey  V.  Mchalk 

1532  E.  Btklge  Road.  Charleston,  WV  25314 


llrrbm  W.ll.  Meyer,  III 

1576  Pine  Hill  Rd..  Charleston.  WV  25314 

Dale  Miller 

1218  Ukeside  Villiage.  Morganinwn.  WV  26S05 

David  S.  Miller 

1225  Staunton  Road,  Charleston.  WV  25314 

James  T.  MUler 

1421  Nottingham  Rd.,  Charlcsinn,  WV  2)314 

Jamc*  W.  Millnr 

ISS2  Bridge  Road.  Charleston,  WV  2S3I4 


342-8623 

Family 

744-3756 

Non-ResldenI 

372-4812 

Non-RrsldenI 

704  341-8889 

Family 

342-0962 

Family 

342-4608 

Family 

925-2110 

Non-Re<tldenl 

717-4940636 

Social 


(Donna) 

Family 

(Christie) 

NonResidenI 

(Karen) 

FamUy 

(Cbmy) 

Family 

(Jean) 

FamUy 

3466833 


342-0575 


291  3067 


344-3086 


744-0584 


343-0277 


Richard  MMcr 

26  Walker  Road.  Elkview.  WV  25071 


(Janle) 


Social 


%5-3484 


(28) 


130 


TlnMrthy  M.  Mitltr  (Annr) 

701  Laurel  Road.  Charlcslon.  WV  2S)U 


iokn  Mllchcll,  Jr. 

1638  Woodvale  Drive.  Charleston,  WV  25314 

Robert  Monday 

111  East  Ridge  Road.  Charleston.  WV  25314 

Peyton  C.  Montgomery 

n  Swarthmore  Avenue.  Charleston,  WV  25302 

Peyton  C.  Montgomery,  III 

#2  Swarthmore  Avenue.  Charleston.  WV  25302 

David  Moore 

210  Quarry  Ridge  E  .  Charleston.  WV  25304 

Dr.  Donald  II.  Moore 

29  Bridlewood  Road.  Charleston.  WV  25314 

Ruth  Moore 

711  Cambridge  Drive.  Charleston.  WV  25314 


Paul  Moran  (Ann) 

PO  Box  990.  Uwisburg.  WV  24901 

Peter  K.  Moran  (Anne) 

5  Players  Club  Road.  Charleston,  WV  25311 

Dr.  William  Morgan  (Dlllie) 

16  Wild  Acre  Road.  Charleston.  WV  25314 

John  (Jay)  Morgan  (KHiy) 

#5  Bridlewood  Road.  Chtflesion,  WV  25314 

Wayne  Morxan  (Betty) 

1514  PUyct  Drive.  Leiington.  KY  4051 1 

Gary  Moniton 

iS6l  Louden  Heights  Road.  Chailcslon,  WV  25314 

Charlca  S.  Morton  (Skaroti) 

14  Norwood  Road.  Charleston,  WV  25314 

J.  Stcvm  Mo«e«  (Doris) 

431 1  Staunton  Avenue.  Charleston.  WV  25304 

Rick  M«M<i  (Carolyn) 

109  East  Ridge  Road.  Charleston,  WV  25314 

Robert  MofM  (NIkM) 

1350  lohnsnn  Road,  Charleston.  WV  2S3I4 

Cbarle*  G.  Moyrr*  (Patricia) 

5  (}uail  Cove  Road,  Charleston.  WV  25314 

DonaM  Mueller  (Kathy) 

1526  Bedford  Road,  Charleston,  WV  25314 

Tom  Naerebont  (Cathie) 

1525  StonehengeRoad.  Charleston.  WV  2S3I4 


Family 


345-5867 


(Stephanie) 

Social 

342-3553 

(Joyce) 

Family 

342-2483 

(Carol) 

Family 

346-7412 

Family 

346-7412 

(.Susan) 

Family 

343-2555 

(Robin) 

Family 

Associate 

Non-Resid 

Family 

Family 

Sodal 


Soctol 

Family 

Family 


345-0870 


343-8749 


645-3789 


342-0715 


346-7285 


343-2429 


Non-ResMcnt 

606-2S2-OS34 

FMrilr 

3448337 

Family 

346-8154 

Family 

925-9239 

Famfly 

342-7322 

Family 

345-3593 


3467964 


3420424 


345-4520 


(29) 


131 


llr.  IJnnrl  Nair  (Marjr  Mnw) 

ISI5  Slnndicnie  Rojd.  ChailcMoii.  WV  lMi4 

Cl;d«  C.  Nwljr  (IMly) 

1302  Hi.  Vernon  Place.  Charlcsion.  WV  2)314 

HaroM  Edward  Nr«ly  (Cynlhia) 

19S3  Parkwood  Road,  Charlctlon,  WV  2SJI4 

George  NeHan 

2324  Woodland  Avcmw,  South  Charlrilon,  WV  2530) 

Dr.  Timolhy  Nelson 

647  Holly  Road,  Charl<>«lon.  WV  25314 


Albert  I.  Ne«ler,  |r. 

I2B  Rolling  Arrps.  Winfiokl.  V\A/  25213 

M.  Randolpli  Neville 

3906  lancatler  Avrnur,  Charlcilnn,  WV  25304 

l.l.  Na>ert 

I  Crmvtiii  Road.  OudrUdn.  WV  25314 

Richard  t.  Nolan 

1507  Bartiprry  lane.  Charb>Mnn.  WV  25314 

Richard  Nolan.  |r. 

2138  PreMlenlial  Drivp.  Chailptlon.  WV  25314 

Pawl  I.  N«i<il>a<im 

2130  Prptidcniial  Orivp,  Cli^lctlnn,  WV  2S3I4 

Oanny  O'Oonovan 

1715  Smith  Rd.,  CharleMon.  WV  25314 

Rohert  |.  O'NeM 

1415  Bedford  Road,  Cli-vlcMon.  WV  25314 

lameiOade* 

1206  Henry  Road,  South  Charlr^un,  WV  2S303 

Or.  Ron  Samuel  Oliver 

819  Middle  Road.  CharlrMtm.  WV  2SI14 

C.f .  (Shipl  Olwn,  III 

512  linden  Road,  Charlnlnn,  WV  25314 

Robert  O.  Order* 

f6  Comtloclt  Place,  Charlrtlnn,  WV  25314 

Robert  O.  Order*,  |r. 

828  ChpVnut  Road,  CharlrUon.  WV  25314 


Social 


Family 


344-9236 


344-4142 


343-4981 

(lee) 

Social 

744^702 

Gufanne) 

FamRr 

3453403 

Itelly) 

Famfly 

7550055 

(Tammra) 

Family 

925-5300 

(lerrO 

FamHr 

342-1405 

(Barbara) 

leiJoff 

342-6624 

(flifabelh) 

Family 

343-f>829 

(llarrieM) 

FamMy 

3424)883 

(Idilh) 

Famiy 

345-5323 

(SuMn) 

rMMiy 

343-8034 

(louiie) 

FamMy 

744-9988 

(DUne) 

'-* 

345-6432 

(Suian) 

Family 

345-6825 

Om") 

FamMy 

345-7484 

(Aral) 

Family 

3454390 


Joseph  Orlandi  (Caroline) 

PO  Bo«  4592,  Charlesum,  WV  25364-4592 

RnnaM  I.  Otbom  (Calhy) 

814  E.  Donnally  Rd  ,  Chadrtlcm,  WV  25304 

Allen  S.  Pack  (Clerata) 

1821  Orvnralale  Cin >,  Chafknbm,  WV  25314 


Senior 


345-1634 


om 


132 


Or.  it\tW  W.  Park*  Social 

710  Myfllo  Road,  CharlcMon,  WV  25314 

Alri  Panon,  |r.  r»»nily 

PO  Box  AB,  Marmcl.  WV  25365 

|oe  PanoiM  (SUcy)  NoivResWtnl 

Route  1,  Box  181  A,  Evans,  WV  25241 

Mahrndra  M.  Palel  (Shobhana)  famHy 

6  Hunter  Point  Road.  Charleston,  WV  25314 

Mkhael  C.  Patemo  (Mary)  Social 

425  Highland  Ave.,  South  Charleilon,  WV  25303 

Mkhael  Palemo  JPalrkia)  FamHy 

423  Highland  Avenue,  South  Charleton,  WV  25303 

Ion  Pauley  (Susan)  FamHy 

916  Ridgeway  Road,  Charleston,  WV  25314 

Andrew  A.  Payne,  III  (Mary)  FamRr 

1414  loudr'n  Heights  Roa<l,  Charleston,  WV  25314 

Randy  Payne  FamHy 

105  McFarland  Street,  Charleston,  WV  25301 

Tom  Payne  (Calhy)  FamHy 

1956  Parkwood  Rd.,  Charleston,  WV  25314 

Thompson  E.  Pearcy  (Kelly)  FamNy 

One  Monticello  Place,  Charleston,  WV  25J14-2372 

C  ludton  Pearson  Qane)  Senior 

1509  Quarrier  Street,  Charleston,  WV  2531 1 

AverHI  Perdue  Famiy 

1S8  Whispering  Woods  Road,  Charleston,  WV  25304 

Erk  Persily  (CyndQ  lim/lnl 

126  Whispering  Woods  Road,  Charleston,  WV  25304 

Meredith  Perslnger  (Nfary  B)  Senior 

4109  Staunton  Avenue,  SE.  Charleston.  WV  2S304 

Ansus  Peyton  Social 

1559  Virginia  Street.  E. Charleston.  WV  2531 1 

John  E.  nesirh  (AUce)  Family 

25  Carriage  Road.  Charleston.  WV  25314 

Edgar  Allen  Poe,  Jr.  (Rebecca)  Family 

15  Stony  Point  Road.  Charleston.  WV  25314 

Robert  D.  PollitI  Family 

40  Birchlree  Lane.  Charleston.  WV  25314 

PrbcHIa  Pope  Associate 

1343  Morningside  Drive,  Charleston,  WV  25314 


9254)431 


372-6931 


343-6509 


345-2466 


346-7520 


344-9295 


925-1958 


925-7671 


342-8361 


345-5202 


344-9923 


343-2631 


on 


133 


Chrhlopltvr  B.  Power 

1511  Bedford  RomI.  Chwirtton,  WV  ;S)I4 

Aiarty  f  resvnan 

844  Bridge  M.,  Chjrieton,  WV  25)14 

Reno  |.  lamella 

2001  Nonhwood  Road,  Charletion,  WV  25)14 

Dr.  DavM  RaiHon 

2100  Smith  Road,  Charleslon,  WV  25)14 

Dr.  P.M.  Rao 

19)2  Parkwood  Road,  Charletton,  WV  25)14 

Dr.  SalhHhchandra  Rao 

120  EatI  Ridge  Road,  Charletlof«,  WV  25)14 


(Elirabelh) 

IrJInlcr. 
ramily 

)42-)494 
544-)  175 

ffran) 

SocUl 
Family 

34)-)0)B 
7444590 

(Nhmno) 

Family 

34)2897 

(VanHM 

Family 

34)^)191 


|ame«  Ray 

4607  Kanawha  Avenue,  SE,  Charleilon,  WV  25)04 

Philip  Reale 

Pot»  OfTice  Box  157,  Clenvillc,  WV  26)51 

Kelley  Reed  III 

407  Abbey  Drive,  Charleslon,  WV  25)14 

Charlei  Rhodei 

420  Montcalm  Drive,  Charleston,  WV  25)02 

Dr.  loteph  V.  Rice 

17)2  Louden  Heights  Road.  Charleslon,  WV  25)14 

WillUm  A.  Rke,  )r. 

1411  Connelt  Road,  Charleston,  WV  25)14 

Ronald  Riley 

1519  Bedford  Road.  Charleslon,  WV  25)14 

Marjorie  H.  Rippeloe 

6  Barnes  Place,  Charleston,  WV  25)14 

Rkhard  Ringer 

40)  Rock  Holly  Road,  Charleslon,  WV  25)14 

lohn  S.  Robertson 

304  Woodbridge  Drive,  Charleston,  WV  25)1 1 

larry  E.  Robertson 

1502  Coventry  lane,  Charleslon,  WV  25)14 

Houghton  RobMn 

1519  Conncll  Road,  Charleston,  WV  25)14 

Steve  Rodberg 

2007  Kanawha  Ave.,  Charleston,  WV  25)04 

Clyn  Rodger* 

1004  Benton  Ridge  Dr ,  Louisville,  KY  40245 

larry  I.  Roller 

2003  Parkwood  Road,  Charleston,  WV  25)14 


Social 


925-5278 

(Terry) 

Non-Retident 

462-7096 

(Irene) 

FamSy 

744-6569 

(Tami) 

Social 

)42-5714 

(Cathy) 

FamUy 

342-6543 

(Cherry) 

Family 

342-7301 

(Cormie) 

Family 

Astoclate 


344-3251 


344-1408 

(Ariene) 

SocUl 

)42-5160 

(ShelU) 

Family 

)45-9008 

(Sheree) 

FamHy 

744-2670 

(Elma) 

FamHy 

343-9106 

Ooan) 

Family 

342-8673 

(Deborah) 

Corporate 
Family 

502-241-8245 

345-168) 


(32) 


134 


Dr.  C«ri  |.  Rnncaitlronr 

610  Bcmlvirw  Drive,  Ch*rlr««io,  WV  2S1M 

Sluart  O.  Rom 

1424  Quarrier  SI.  Ajrt  C,  Chwtejion,  WV  25301 

lack  Ro«i 

19J4  Parkwood  Road,  Charlesloo,  WV  25J14 

Dr.  Arthur  B.  Rubin,  O.O. 

1940  Parkwood  Road,  Charleston,  WV  25)14 

Rkk  Rubin 

5  WiW  Arre,  Charleston,  WV  25314 

David  RubrechI 

44  Carriage  Rd.,  Charleston,  WV  25314 

Dee  Rumbaugh 

1587  Hampton  Rd.,  Charleston,  WV  25314 


(Tonwnle) 

family 
tun/lnl 

J41-7414 
342-)607 

(toy) 

Social 

344-9950 

(Melissa) 

Family 

343-3207 

(Wendy) 

Family 

342-1 20S 

(Sandy) 

Social 

Family 


342-7769 


Cleiwi  Runyan 

2545  S.  Atlantic  Avenue,  11606,  Oaylona  Beach  Shores, 

Michael  Runyan 

6  Woodcresi  Lane,  Charleston,  WV  25314 

Daniel  M.  Sadd 

542  Mohawk  St.,  ColumlHK,  Ohio  43206 

Dr.  Ramanalhan  Sampath 

117  East  Ri<lRc  Road,  Charleston,  WV  25314 

letsc  Samples 

P«>SI  Office  Box  157,  tikvicw,  WV  25071 

R.  Robert  Samples 

144  Knollwood  Drive,  Charleston,  WV  25302 


(Palsy) 

Non-Residenl 

Fl  32118 

904788-5739 

(Jacqueline) 

Family 

N  Ofl'H  VSKKfll 

342-4490 
614-280-0527 

(Shoba) 

Family 
lun/lnter. 

342-2533 
%5-3924 

Family 

346-8875 


Or.  Uljal  Sandhu 

2000  Smith  Road,  Charleston,  WV  25314 

Dennis  C.  Sauler 

274  Eureka  Road,  Charleston,  WV  25314 

Brent  Sears 

1408  Ravinia  Road.  Charleston,  WV  25314 

lack  W.  Sears 

811  Newton  Roa<l,  Charleston,  WV  25314 

ScnII  Sumner  Segal 

12  Wildacre  Road,  Charleston,  WV  25314 

Craig  I.  Selby 

1419  Nottingham  Roa<l,  Charleston,  WV  25)14 

Or.  VMor  Srlrar^J 

1112  Btecry  Drive.  Charleston.  WV  2531 1 

Dr.  Arvind  R.  Shah 

I70S  Sierra  Road.  CharlcMon.  WV  25)14 


(Shinda) 


SocUl 


)44-8407 

Family 

)44-89% 

(Juiia) 

|r.  Inler. 

)42-)022 

(Belly  Jane) 

Family 

)42-4740 

(Robin) 

Social 

)42-8806 

(Mary  Sue) 

Family 

744-8)92 

(M«r,) 

Family 

34S-8468 

(Vina) 

Family 
(.1.M 

)44I8II 

135 


l>r.  Jack  F.  .Shsmhlln 

#21  SouUi  Gale  Rd..  CharlcMon.  WV  25314 

Dr.  Nfd  ,Shanmu|;hani 

136  Ejsi  RkIkc  Road.  Charleston.  WV  25}I4 

J.  Danlu  Shepherd 

1606  Ridfeview  Road.  Charleslon.  WV  2S3I4 

Datld  Shirlaw 

2032  Paikwood  Road.  Charleslon.  WV  25314 

David  Shuman 

645  Holly  Road.  Charlesion.  WV  25314 

Dr.  Robert  J.  Siniclelon 

1 561  Connell  Road.  Charleston.  WV  25314 

DsTld  SIrk 

8  Woodcliffe  Road.  Hurricane.  WV  25526 

Dr.  Charlei  L.  Smilh 

1501  7(h  Ave..  Charleslon.  WV  25312 

(;.N.  Smilh,  III 

1592  Connell  Road.  Charleslon.  WV  25314 


(Karl 
(Menaka) 


(Rebecca) 


(OIlTla) 


(Ronnie) 


(VIcU) 


Famlir 
Famllj 
Senior 
Family 
Family 

Family 
Family 
Family 


342-5550 


344-4110 


344-3732 


3439852 


346  3204 


347-6633 


342-7272 


344-2277 


Dr.  Ralph  S.  Smilh 

4002  Virginia  Ave.  SE.  Charleslon.  WV  25304 

Dr.  Richard  D.  Smilh 

29  Briiiany  Wood  Rd.  Charleston,  WV  25314 

Mr«.  Robert  L.  Smith  (Teddy) 

1548  Hampton  Road.  Charleslon.  WV  25314 

Shannon  Snodxraxs 

22  High  Meadow  Dr..  Charleslon.  WV  2531 1 

James  Ronald  Snyder 

1745  Woodvale  Drive.  Charleslon.  WV  25314 

Michael  5!okolo5ky,  Jr. 

2106  Presidential  Drive.  Charleston.  WV  25314 

Tom  Sporck 

10  Carriage  Road.  Charleslon.  WV  25314 

Roy  Stanley 

1 1 15  Shamrock  Road.  Charleslon.  WV  25314 


(Mildred) 


(Kathy) 


Senior 


Family 


Social 


Jun./Inl. 


Family 

(Deborah) 

Family 

(Vkky) 

Family 

(Deborah) 

Family 

925-7760 


346-5102 


343-7936 


345-7600 


344-1008 


342-7375 


3430139 


Mark  R.  Slaun 

1532  H  Bridge  Road.  Charleslon.  WV  25314 


Junior 


345  1413 


Timothy  A.  Slrnms 

328  Knollwood  Drive.  Charleston,  WV  25302 


(JodI) 


Junior 


344  5099 


Mary  Ann  Steed 

1532  Autumn  Road.  Charleslon.  WV  25314 

Curtis  Steele 

1026  Forest  Road.  Charleston.  WV  25314 


(Mary) 
(34) 


Social 


Family 


3436084 


136 


Mellaia  Sicphrns 

1243  Piula  Roid.  Chirlcsmn.  WV  25314 


(Kkhard) 


346-2642 


boulse  SlephrnMn 

411  Faifview  Drive,  ChatleMon.  WV  25302 


342  6573 


Hope  R.  Stewart 

#9  St.  Chifles  Place.  Chafleston.  WV  25314 

neuglaf  Stlnion 

229  Aihby  Avenue.  Charleston.  WV  25314 


(Gall) 


Familr 


343-9245 


343-8985 


t       T.J.  Summers 

1578  Kanawha  Bouleyar(l.Apt.7-B.  Charleston.  WV  2531 1 


344-9191 


Mark  Swartz 

1422  Virginia  St.  E..  Charletson.  WV  25301 

Dr.  Muhib  TarakJI 

131  East  Ridge  Road.  Charleston.  WV  25314 

Douglas  P.  Tajlor 

706  Christian  Dr..  Charleston.  WV  25303 

Jack  Tajrhir 

2900  First  Avenue.  Huntington.  WV  25702 

Larrj  Taylor 

1237  Edgewood  Drive.  Charleston.  WV  25302 

Andrew  K.  T«f<er 

4307  Kanawha  Avenue.  SE.  Charleston.  WV  25304 

Ganpat  G.  Thakkrr 

1713  Sierra  Road.  Charleston.  WV  25314 

Robert  E.  Thaxlon 

1803  Rolling  Hills.  Charleston.  WV  25314 

David  B.  Thomas 

602  Braifwood  Road.  Charleston.  WV  25314 

Michael  P.  Thompson 

4609  Virginia  Avenue.  SE.  Charleston.  WV  25304 

Dr.  Edward  Henry  Tlley.  Ill 

1744  Alpha  Road.  Charleston.  WV  25304 

Dr.  Bert  Tlpler 

1412  Meadowctcast  Drive.  Charelston.  WV  25314 

Ih-.  Charlei  William  Topp 

2030  Parkwood  Road.  Charleston.  WV  25314 

Dr.  S.W.  Trammell 

1937  Olympus  Road.  Charleston.  WV  25314 

R.  David  Travis 

721  Churchill  Drive.  Charleston.  WV  25314 

Jack  Trittlpo 

USOakwood  Road.  Charleition.  WV  25314 


(Mary  Jo) 

Social 

343-5819 

(Leila) 

Family 

343-2020 

(MelliMla) 

Family 

744-4210 

(Judy) 

Non-RcsidenI 

523-9360 

(Catherine) 

Social 

3460563 

(Marco) 

Family 

925-1820 

(Chandranl) 

Family 

343-7384 

(Dorothy) 

Family 

344- 1380 

(Sandra) 

Family 

342-1432 

(Molly) 

Family 

925-5342 

(Dr.  GIna  Dusch) 

Family 

925-6763 

(Marilyn) 

Family 

342-6535 

(Jerl) 

Family 

344-9114 

(BHsy) 

Family 

343-3394 

(Karen) 

Family 

3437361 

(Frances) 

Family 

343-3323 


(35) 


137 


Dr.  C.  C«rl  Tully 

4330  Spring  Hill  Avenue,  South  Charleston.  WV  23309 

Mallhew  Uplon 

2910  Noycs  Avenue.  SE.  Charleston.  WV  23304 

W.  Warrni  Upton 

4307  Virginia  Avenue.  Charleston.  WV  23304 

Mr*.  W.  Harold  UrIIng 

1402  Mt.  Vernon  Road.  Charleston.  WV  23314 

Rijr  M.  Van  Mrtre 

2041  in  lOlh  Ave..  Huntington.  WV  23703 

Dr.  John  Vargo  HI 

1421  StonehengeRoad.  Charleston.  WV  23314 

Dennis  R.  Vaughan,  Jr. 

No.  2  Dunlevy.  Charleston.  WV  25314 

Jack  W.  Vaughan 

733  Oakwood  Road.  Charleston.  WV  23314 

Mike  Veres 

Rl  2.  Box  64H.  Chapmanville.  WV  23308 


(Margarc<| 

Social 

(Sac  Ann) 

Junior 

(Fran) 

Social 

Aimclalc 

Non-Rcsidenl 

(Dr.  DIanna  Lenick) 

Family 

(DUne) 

Social 

Family 

(Sharon) 

Non-Resident 

768-S474 


343-0186 


923-3276 


3420927 


6974103 


344-4684 


344-8723 


343-6333 


833-8688 


Mary  Alice  VIgneault,  Jr. 

1402  Viewmont  Drive,  Charleston.  WV  23302 


346-9391 


Curtis  Volh 

1317  Tudor  Rd  Charleston.  WV  25314 

Donald  R.  Vrcdcveld 

1404  Somerlayion  Drive.  Charleston.  WV  23314 

Donald  Wafer 

138  Woodvale  Drive.  Huntington.  WV  23705 

Stephen  Wagner 

1316  Wychwood  Rd..  Charleston.  WV  23314 

KennHh  T.  Waldeck,  Jr. 

3623  N.  Crede  Drive.  Cnurleslon.  WV  23302 

Michael  Waldron 

1049  6lh  St  .  Charleston.  WV  25302 

Mrs.  Cecil  I.  (Jenny)  Walker 

250  Baker  Lane.  Charleston.  WV  25302 

I).  Stephen  Walker 

1410  Conneli  Road.  Charleston.  WV  23314 

Mkhael  S.  Walker 

241  Eureka  Road.  Charleston.  WV  25314 

Richard  B.'  Walker 

PO  Box  570  Hurricane.  WV  25526 

David  Wallace 

4704  Virginia  Ave.  SE.  Charleston.  WV  25304 


(Sandy) 

Family 

(Mary) 

Social 

(Mary  Beth) 

Non-Rfsldent 

(Christina) 

Junior 

(Patricia) 

Family 

Family 

AswcUte 

(IMane) 

Family 

(Usa) 

Family 

(Sara) 

Family 

(Margie) 

FamUy 

(36) 

342-1384 


343-7022 


523-9714 


342-0980 


345-8651 


342-2858 


344-2182 


346-8235 


344-0742 


757-8453 


9258520 


138 


120  Middle  Roid.  Chaflnlon.  WV  23)14 

Roy  W.  WaHrr 

62S  Holly  Roid.  Chaiksion.  WV  2S3I4 

RoimM  Wallen 

303S  Benniniton  Dr..  Cross  Lanes.  WV  2S313 

A.  Todd  Walls 

69  Fawn  Drivc-Sionegaie.  Hurricane.  WV  2SS26 

BenMrd  Wthrle 

1622  Louden  Hrighu  Rd. .  Charlesion.-WV  2S3I4 

;     Gaines  Wehrie 

'     1440  Louden  Heifhu  Road.  Charleston.  WV  2S3I4 

'     Henry  6.  Wehrie.  Jr. 

,     1237  Upper  Ridgeway.  Charleston.  WV  25314 

)     MkhaH  H.  Wehrie 

>      334  Soulhpointe  Drive.  Charleston.  WV  23314 


S.  Gary  Werkman 

205  Whisperini  Wood.  Charleston.  WV  25304 

Ltmh  Whaley 

14  Quarry  Ridge  W..  Charleston.  WV  25304 

C.E.  WhMe 

4100  Kanawha  Avenue.  Charleston.  WV  25304 

James  B.  While,  HI 

PO  Bo«  13050.  Sissonville.  WV  25360  0050 

Mark  WhHe 

16  Coventry  Woods.  South  Charleston.  WV  25309 

Norman  While 

330  Stale  Sirecl.  Madison.  WV  25130 

Thomas  D.  While 

PotI  Office  Box  48848,  Wichita,  KS  6720 1 -8848 

Ronald  Whitney 

1403  Slonehenge  Road,  Charleston,  WV  25J14 

Terry  Whill 

82  Hunling  Hills,  Charleslon,  WV  2531 1 

Basil  Whiltinglon 

5509  Kanawha  Avneuc,  SE,  Charleston,  WV  25304 

lames  F.  Wildey 

1820  Hubcr  Road,  Charleston,  VW  25314 

Bill  Williams 

1409  Slonehenge  Road,  Charleston,  WV  25314 

lames  D.  Williams 

1  Gilchrist  Drive,  SI.  Albans,  WV  25177 


(KUly) 
(Debra) 
(Dawnctle) 
(Cecilia) 

(Sharon) 

(ChrMle) 

(J«ne) 

(Pam) 

(Barbara) 

(TonI) 

(Cynlhia) 

(Maggie) 
(Debra) 
(Jeannetle) 

(Tralece) 

(Gloria) 
(37) 


Family 


Jon/lnl 


343-S2S)  ' 


344- 1327 


776-7681 


S62-0334 


Family 

345-3613 

Family 

346^1004 

Family 

344-0373 

Family 

744-7772 

Family 

923-5363 

FamUy 

343-6013 

Family 

923  8299 

Family 

984-9S33 

Family 

744-1118 

Family 

369  0514 

Non-ResidenI 

316-634-0148 

FamHy 

343-0810 

Family 

344-5335 

Social 

925-3705 

Senior 

343-0754 

Family 
Family 


343-2035 


139 


Robert  WillUim 

102  Dominion  Place,  Charleston.  WV  2S)04 

Thomai  P.  Wilton 

701  Myrtle  Road,  Charl«lon,  WV  25314 

Dr.  durkt  P.  Winkler 

1  Van  Boren  Ave.,  Charleston,  WV  25Jt4 

Mr«.  Robert  E.  (Vivian)  Wi«e 

1857  Louden  Heights  Road,  Charleston,  WV  25314 

Vernon  I.  Wilhrow 

5307  Arthur  Drive,  Cross  lanes,  WV  253 1 3 

Parhe  |.  Wolfe 

106  Mark  Drive,  South  Charleston,  WV  25309 

RichartI  Wolford 

1557  Bridge  Road,  Charleston,  WV  25314 

Haiel  Work 

1522  Hampton  Road,  Charleston,  WV  25314 

David  Wrighl 

5  West  Coventry  Road,  South  Charleston,  WV  25309 

Mn.  William  E.  (Bobbie)  Wrighl 

1506  Barberry  Lane,  Charleston,  WV  25314 

lamct  Zedosky 

1SS3  Ml.  Vernon  Road,  Charleston,  WV  25314 


Family 

3450053 

(MargarcO 

Senior 

346-5253 

(KImberty) 

Family 

345-7499 

Atsoclale 

344-9043 

(Harielle) 

Family 

776-1482 

(Penny) 

Family 

744-5140 

(Alison) 

Social 

344-2640 

SocUl 

343-0183 

(Deniw) 

SocUl 

(Lenore) 


Associate 


Family 


746-0373 


345-7030 


WHIUm  Ziebold 

12  Wildacre  Road,  Charleston,  WV  25314 


(Mary) 


Senior 


on 


140 

BERRY  HILLS  COUNTRY  CLUB 


CLUB  HOUSE 
744-1393   OR   744  2341 

GOLF  SHOP 
744-8790 

GROUNDS  DEPARTMENT 

744-2257 


FAX-NUMBER 
744-7040 


141 

SENATE  RESPONSE  (PUBLIC) 
EXHIBIT  20 


ROBERT  BRUCE  KING 


July  3, 1998 


142 


,   M-lfM    I 
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FINANCIAL  DISCLOSURE  REPORT 

NominatioB  Report 


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e/Kckait  iki  NOSE  hatfoi  tack  ttcacfi  f^rt  yon  haw  no  npanabk  t^formaton  Sign  a*  Ikr  lattfaf 


i.  POSITIONS      (Ktponmt  ntdl^idtutl  OKly  mt  pfi  9-JJofhalnKnonl) 

POSITION 
j         ■  NONE    OJo  irponaMc  poiiiiom  ) 


NAME  OF  ORGANIZATION /ENTITY 


1  Cjctcutor 


Cstoto  of  Gladys  Holymon  King  Gregory  <d«c*os«d  aothcr) 
Groonbrior  County,  Most  Virginia 


3     Co-Trustoc 


Millian  C.   King  Children  Education  Truit,    (deceaaed  brother).   United 
National  tank   Icorpcrate  Trustee),  Charleston,  Itv 


D.   AGREEMENTS    */>or<infi«rf>vAe/<»i<)  «*«>//■/«  <<*nin«-fi«w; 

DATE  PARTIES  AND  TERMS 

'   NONE  (No  icponafck  agrccmcnu  ) 


Law  rirv  Buy-out:   Our  law  fim.    King  JUlen  Guthrie  i  HcMugh.   has  a  buy-out  provision 
for  a  Withdrawing  partner.     Pursuant  thereto,   the   (cont'd.    Part  B) 


m.    NON-INVESTMENT  INCOME        (HtpcnUt  *•*..*«/  md  «»»  srr  pp  1 7-14  tf/mtncHom ) 

DATE  SOURCE  AND  TYPE  CROSS  INCOME 

i  NONE    (ttonponbUmm^MWmmmamc)  0««. ■« »»oiiKi) 


1  1»9« 

2  1*97 

3  199a 

4  1994 


King  Allen  a  Guthrie  (services) 
Charleston,  HV 


King  Allen  t  Guthrie  (services) 
Charleston,  av 


(•) 


King  Allen  Guthrie  t  McHugh 
Charleston,  wv 


Pennzoil  Products  Coaapany   (S)    (Koyalties) 
Houston,   TX 


S  443,000.00 
t  374.000.00 
$        121,000.00 


(*)   Approximate  six  months  share  of  1998  net  income  of  law  firm. 

Senate  Response  (Pnblic)  Exhibit  20 


143 


;   NancofPcnonRcponing  i  DneofRepon 

RNANCIAL  DISCLOSURE  REPORT   [    King.    Robert   B.  i    06/29/1998 

IV.  REIMBURSEMENTS    -  transportation,  lodging,  food,  enteruiDment. 

(helvdei  those  to  spouse  anj  dependent  children  use  the  parenlheticals  "(S)  *  and  "(DC)  "  to  indicate  reportable  reimbursements  rtcetved  by  spouse 
and  dependent  children  respectrvely    See  pp  2S-2S  of  Instructions} 


SOURCE 
NONE  (^'0  suc^  rtporubk  icimbunctncnU-) 


DESCRIPTION 


V.    GIFTS 

(Includes  those  to  spouse  and  dependent  childrer 
rrspectivefy   See  pp  29-32  of  Insirvciions  ) 

SOURCE 
'  '    NONE      (No  such  reportable  gifts.) 

1      Exempt 


t  the  partnlheiicals  "(S)  "  and  "(DC)  "  to  indicate  gifts  recerved  by  spouse  and  dependent  children. 

DESCRIPTION  VALUE 


VI.   LIABILITIES 

(Includes  those  of  spouse  and  dependent  children    indicate  where  applicable,  person  responsible  for  liabilio  b)  using  the  parenthetical  ''(S)"for  separate 
Imhllay^  the  spouse  "(Jj'for  joint  tulbilit)  of  reporting  indtvuiual  and  spouse,  and '(DC)'  for  liability  of  a  dependent  child   See  pp  33-3Soflm 


CREDITOR 
NONE  (No  rcponable  liibilit 


Bank  One.   M«st  Virginia 
ChatJeston.   nv 


DESCRIPTION 

Mortgage  on  Town  House.  Horgantown 
Individual  Line  of  Credit 


VALUE  CODE* 


>VAL  CODES  J-SI 5.000 or  less  K-SIS,OOI-SSO,000  L-S50.00lloSI00.000  M-^SIOO.OOI-S^SO.OOO  N-S250.OOI-S50O.O00 

0-S500.001-SI.000.000    PI -SI. 000,00 1  .$5,000,000    P2-S5.000.O0l-S25.00O.00O    P3-S25.O0O.OOl-S50.OOO.0OO    P4-S50,000.001  or  more 


144 


t  Name  of  Penon  Repoiting  j 

FINANCIAL  DISCLOSURE  REPORTj^King,   Robert  B. _      j 

~  tlncHiHes'lHou  bj^iouxand 

VII.  Page    1    INVESTMENTS  iDd  TRUSTS-  iDCoroe,  value,  trinsictions  <kptniUnichildrtn  Stepp  3i-i4ofhatniai 


DaicofRcpon 
06/29/1998 


!      Dcscnpiion  of  Assns 

-  Micate  where  applicable,  owner  of 
!  Uie  asxi  by  tuing  the  parenthetical 
I  "(Jj'Jorjoml  ownership  of  reporting 
tndn'iAdalandspouu.  'fSJ'foraep- 
\  erate  ownership  by  spouse.  '(DC)' 
'  for  ownership  by  depentteni  child 

Place  '00' after  each  asset 
exempt  from  prior  disclosure 

^^^""^^NONE^fNoreporubltTncomclslcBTor" 
I  transactions.) 


1   tmnzict  Onl 


Income  during 
fcporting  period 


(1)  1(2) 

Amount :  Type 
Code       (e.g.. 


'Gross  value 

I  ■  end  of 

I  repotting         j 

jperiod         J 
1(1)     1(2)  '     Id) 
Value  Value    j  Type 
I  Code  'Method  (eg.  tniy. 
{()-P)  I  Code     I  Kll,  partial 
l(0-W)    sale. 

inerger, 
redemption) 


Tiansaatoru  during  icponing  period 


If  not  exempt  from  disclosure 


0)         (3)     1(4)       (5) 
Date       Value  Gain     Identity  of 
Month-  Code  |Code  |  buyer/seller 
(J-P)   (A-H)'  (irpnvalc 


2  Banc  One  Corporat 


5  Callaway  Golf  Co  (Com) 
€  Cisco  Systems  Inc  (com) 
1    Coca-Cola  Company  (com) 

6  Coaipaq  Computer  Corp  (com) 
9  Dell  Computer  Corp  (com) 

10  Halt  Disney  Corp  (com) 

11  CatcHly  2000  Inc  (com) 

12  Intel  Corp  (con) 

13  Iomega  Corp  (com) 

14  Merck  i  Co  Inc  (com) 


: Dividend 
iNont 


IS  Microsoft  Corp  (com) 


i  A    j  Dividend   l 
I Hone     I  J 
B   I  Dividend  I  L 


1<  Morgan  Stanley  Dean  Vittei 

Discover  «  Co  (com) 
17  Motorola  Incorporated  (com) 


L  I  T 

4 i   - 


Dividend  ;  J  I  T 


llncXiainCodes  A-SI.OOOorkss  B-S1.001-S2.SOO  C-S2.50I-SS.000  D-SS.00I-SI5.000  E-SI3.00I-S50.000 

(ColBI.D4)       F-SSO.OOI-SIOO.OOO  G-S 1 00.00 1 -SI. 000.000         H I -SI. 000.00 1 -SS. 000.000       H2-SS.000.00lorniorc 

IVdCodes  )-SIS.000orlesi  K-SIS.OOI-SSO.OOO  L-SSO.OOI-SIOO.OOO  M-Sl6o.0OI-S2SO,0OO  N-S2S0.00I-SS00.000 

(Col  CI.D3)     O4S00.00 1 -SI. 000.000  PI-SI.OOO.OOI-SS.000.000  P2-S5.00O.00l-S25.00O.00O  P2-S25.OO0.0OI-S50.0O0.OOO  P4-SSO.000.00 1  or  more 


3VdMihCMes   0-Appraisal 
(Cd  C2)  U-Boolt  Value 


R-Cosi  (real  estate  only) 
VOiher 


S-Asscssmern 
W-Esteated 


145 


■  Nime  of  Penon  Reporting 
FINANCIAL  DISCLOSURE  REPORT     King.   Robert  B. 

"  (Includes  those  of  spouse  and 

VIL  Page  2    INVESTMENTS  and  TRUSTS-  locome,  value,  transactions  dependent  children  See  pp  36-54  of  Instmctionsj 


Due  of  Repon 

06/29/1998 


Descripiion  or  Aucu 

Indicate  where  applicabie.  owner  of 
the  asset  by  using  the  parenthetical 
'(J)" /or  joint  ownership  of  reporting 
ii^n-idual  and  spouse.  '(Sj'/orsep- 
erate  ownership  by  spouse.  '(DC)' 
for  ownership  by  dependent  child 

Place  "(X)  '  qfter  each  asset 
exempt p-om  prior  disclosure 


Income  during  |  Gross  value      '  Tranuaiom  during  reporting  period 

reporting  period  i «  end  of         ! 

reporting 

[period 

td)    1(2) 


(I)         |(2) 

Amount  ^  Type  j  Vdue '  Value     Type 

Code      l(e.g.  icode  'Method  (e.g.buy. 

(A-H)     ,  dividend.       |(J-P)    Code     |»ell,pwtial 
l(0-W)     talc, 
interest)         '  |  |  merger, 

redemption) 


^NONC    (No  reportable  lncome,asset5,  or 


J 


— \. 


I  18  Mike  Inc  CL  B  lonii) 
'  19  Oracle  Corp  (com) 

!  20  Pepsico  Incorporated  (corn! 

i     - 

j  21  Proctor  k   Gamble  Co   (com) 

'  22  Sprint  Corp  (com) 

t  --  - 

•  23  3Con  Corp  (cornl 

24  «  Home  Corp  Ser  A  (com) 

'   2S  LSI  Logic  Corp  (com) 

26  American  Express  Company   (com 

27  Citicorp  (com) 

26  Federal  Home  Loan  Corporation 
,    (com) 

29  First  Onion  Corp   (com) 

30  Johnson  t  Johnson  (com) 

31  Eli  Lilly  t  Co.  (com) 

32  Pfizer  (con) 

33  PNC  Corp  (com) 

34  Schering  Plough  Corp  (com) 


If  nol  exempt  6om  disclosure 

'~m        IW    ](1)      I  (5) 
Dale      IvtluelCiin  i  Identity  of 
Month- 1  Code  'Codc     buyer/icller 
(A-H)    (Ifprivau 
{  trmsaction) 


Dividend  K 
Dividend  !  L 
{Dividend   j 


Dividend 

J 

T 

1 

Dividend 

K  ]  T 

~\ 

Dividend 

K 

T 

J 

-  H 


A-J,.. 


Dividend  \    k 

L__ 

Dividend  i  K 

t  ! 

I  Dividend  \    k 


4-  1- \ 

Dividend   I    K    .    T 
{Dividend    I    K     j    t 


„1 


t  lilcA3ain  Codes  A-SI.OOO  or  less  B-SI.00l-S2,S00  C-S2.SOI-S5.0(X)  I>=SS,00l-SIS.000  E-SIS.OOI-SSO.OOO 

(Col  B 1. 04)       F-$50.00l-J100.000  G-$)OO.OOI-$I,000.000         H1-II.OOO,OOI-J5,000,000        HJ-JS.OOO.OOl  or  more 

|2VilCode$  J-=J  15.000  or  less  K-JIS.OOI-JSO.OOO  L-$50.00I-JI00.000  M-J100,001-I2SO.OOO  N-J250.OO1-J50O.0O0 

(Col.CI,D3)     OJ500.00 1 -J  1.000.000  Pl»tl,000.001-$5.000.000  P2-$S.000.00I-J25.000,000  P3-$25,000.001-$SO,000,000  P4-$50.000.001  or  more 


I  3  Vil  Mtli  Codes    Q-Appreisal 
'.    (Col  C2)  U-Bool>  Value 


R^ost  (real  estaie  only) 
VK)lher 


S>  Assessment 
W-Estlmated 


T-Cash/MarVet 


146 


r  Nbik  of  Pcnon  Reponng 
riNANCIAL  DISCLOSURE  REPORT   ]  King.   Robert  B. 


DKtofRepon 

06/29/1996 


(Inchtdet  those  ojspctat  and 


VII.  Page  3   INVESTMENTS  and  TRUSTS-  iDcome,  value,  transactions    dtpiKkm  d\tutn>t  Sn  pp  }i-n  of  hat 


Descripijoti  of  Assets 

Micatt  whtrt  applicabU.  owner  of 
lAr  osie/  bi'  tatng  iht  parmhetical 
'(Jf' foe  joint  e\mershtp  o/rtpoettng 
bidividual and ipouje.  'fS)'foraep- 
trou  owmrship  by-  spouM.  '(DC)' 
for  ovmenlup  by  drptndent  child. 

Pica  'PO' after  tach  azael 
txtmplfrom  prior  dtsetanrr 

^^     "l  NONE    (No  rtpoiubic  mconK.essels,  or" 
BBsactions.) 

35  Kells  Farqo  t  Cov  (COB) 

36  Assend  CouBunications     fcom) 


3"7  ESS  Technolojies   Inc.    (cornl 
36   Peirgain  Technologies    (com) 

39  Seagate  Technologies      (com) 

40  Horldcon  Corp    (com) 

41  Sun  mcrosystems    (com) 


:  Gross  value     '  TmsactiofH  during  reporting  period 


[period 

|(f)"~]C) 
Value  Value 


<l)        10)  Id)     iC)         (1) 

Aamaii  Type  Value  Value     Type 

Code      |(e.t.  Code  ' Method  (eg. buy, 

(A-H)    {dividciid.      I(J-P)  I  Code     Isell.paniri 
(Q-W)   I  tale, 
aiterest) 


If  not  exempt  fnan  disdosive 


Divideild    I   K 


_-J 


EXEMPT- 


O)        1(3)     1(4)      I  (5) 
Dae       Value'Cain     IdeMily  of 
Month-  'Code  ICode     buyer/seller 
Day       |(J-P)  !(A-H);  (ifprivae 
oansaction) 


42  Yahoo  In 


43  Tricon  Global  Restaurants  In 
(com) 

44  Abercroabia  i  ritch  (com) (S) 

45  Cisco  Systems  Inc  (com)  (S) 

46  Dell  Conputer  Corp  Icon) (S) 

47  Federal  Hone  Loan  Corporatio 
(com) (SI 

46  Merck  i  Co.  Inc.  (com)  (S) 


49  t,.    I.    DuPont  (com)  (S) 

50  America  Online  Inc  Del  (com) 
IDCI 

51  Eltrax  Systems  Inc  (com) (DC) 


;none  ;   J.    I    I      I 

[None 


Dividend 
1  Dividend    I    J 


'  i 


I  Hone 


d   I   J     I    T       I 
71    T      I 

—1   J 

L|     T       I 

"     I     T        ] 


XJ..-'.. 


E-SIS.001-J50,000 


llnc«siii  Codes  A-SI.OOO  or  less  B-SI.00I-S2.$00                  C-S2.J0l-S$.0O0                       IVSS.OOI-SIS.OOO 

(Col  BI.D4)       F-SSO.OCI-SIOO.OOO  G-S 1 00.001 -SI. 000.000         H I -SI. 000.00 1 -S5. 000.000        Ki-SS.OOO.OOl  or  more 

IVslCodes           )-JlS.OOOorless  t>J15,OOI-$50.000                L-J50.00 1  $100,000               M-JIOO,001-$2SO.OOO          ~N-S250,0OI-JS0O.O0O 

(Col  CI.D3)      OSSOO.OOI -SI. 000.000  PI-S1.000.00l-$5.000.000  P2-JS.O00.00l-S25.0O0.0OO  P3-S25.000.OOI.S50.000.000  P4-S50.000.00 1  or  more 


3VelMUiCodes    (>-Appraisal 
(Col  a  I  U-Book  Vtlue 


R-Cost  (reel  cstsle  only) 
V-Other 


S- Assessment 
W-Estimned 


TKjsh/Mirkel 


147 


jNme  of  Penan  Rcponini 
HNANCIAL  DISCLOSURE  REPORT     Kin?,   l(ob«rt  B. 


DHcofRcpon 

oe/29/i99e 


(hciudei  ikott  ofifXMM  md 


VII.  Page  4   INVESTMENTS  *Dd  TRUSTS-  iDComc, value,  trannetions    dtptndm dtUdnn  SnppH-Ut^hatnKiioia) 

Gran  value     |  Transaciiom  during  icpoitiiit  period 


Docripdon  of  Asaeu 

htdlcalf  aAtrr  i^icabU.  ewmr  <4 
dW  aatt  by  uiinf  Un  partmhtitcal 
•(Jfjorjomi  citntrtlup  o/rtponint 
Hdlvldyal ami  ipatiit.  '(S)'/or  tep- 
trau  owmrthjp  by  q}<mte.  '(DC)' 
Jet  awKtnlitp  by  dtftitdtni  diM 

floa  '(X)' tfirr  tach  otMl 
txtmplfocm  prior  duclontrt 

r="=rM)NE    (No  itpomble  mcoracttseu.  or  " 
I  nroaciions.) 

52  Motorola  Incorpoztced   (com)    IDC) 


n|wmim  period 


Amount 

Code 

(A-H) 


S3  Popsico  Incorporated  (cool (DC) 

\  %\  scon  Corp  Icomi I  DC  I 

'55  Tricon  GLBL  Restaurant! 

I  (DC) 


^ 


cj  1(1)  "loj     TO) 

Type  lvalue  Value     Type 

(et..  Code  I  Method ,  (c.(..  buy, 

dividend.  (J-P)  I  Code     {lell.panial 
■em  or  (Q-W)  Inle, 


I   Ifnolexonpi  Inm  discloture 


4,-  ■ 
-I J  H-^ 

Dividend    |   j         T 


Dividend  j  J 
Dividend 

None     I 

i 


(2) 
Dae 
Momh- 
Dey 


I  (3)      («)        (5) 
Value'Cain     Identity  of 
Code  |Code  '  buyer/icllcr 
(J-P)  |(A-H)!  (if  private 
j  ffansaction) 


,rt 


^--. 


56  Cisco  Syatema  Inc. Icom) (DC) 

57  Pan  An  Corp  (com) (DC) 

SB  Hindncre  Durable  Holding  Icom) 
IDC) 

59  At  Home  Corp  Sei  A  icon) (DC) 

60  Dell  Computer  Corp.  ( 

61  Intel  Corp  (com)  (DC) 

..  . -  J 

62  Oracle  Corporation  (com) (DC)    | 

63  Pennzoil  Products  Co.,  C 
Houston,  TX      (5)           I 

e«  Oil  and  C^s  Interests,  Tyler  and  C 
other  counties,  MV  (S) 


I  jon.^  n 


J    ;  T 

--i   — '•■  - 


— i. 


6S  Gillette  Co  (con) 


66  Hilton  Hotels  Corp  (con) 


Dividend 
Dividend 


-i" 


J  .._;.._! 


1 
J- 


_\ I 


67   MindBcre  Durable  Holding  (coa) 

IS) 
66  Cooipaq  Computer  Corp.  Icom) 

IDC) 

1  IneWain Codes  A-sr.ddOot less  JEMl'DOI-CSOO  C-$2.50l -55,000  D-SS.OOI-SIS.OOO 

1    (Col  Bl.CM)       F-SSO.OO)-$)00.000  Ot 1 00.00 1 -5 1. 000,000        HI-5i.OOO.OO)-S;.000.000        H3-J5.0OO.O0I  ormorc 

|2ValCodes  1-5)5.000  or  less  K-S15.00l-$50.000  L-550.00I-JI00,000  M-S10O.OOI-J25O.OOO  N-$250.OOl-J5OO,OOO 

'    (C0ICI.D3)     OtS00.00l-5).000.000        PI-5I.OO0.0O)-SS.OOO.OO0  P2-SS.0OO,0OI-S2S.0O0.OOO  P3-S2S,O00.00l-SS0.0O0.0O0  P4^S0,0O0,00l  or  more 


E-5IS.00I-S50.000 


^  3  Val  Mth  Codes   Q-Appraisil 
I    (Col  C2)  U-Book  Value 


R-Cost  (leal  csiau  only) 
V-Othet 


S- Assessment 
W-Esiimated 


148 


fNaae  oftaioi  lUpoitiai 


HNANHAt  DISCLOSURE  REPORT  |  mnt.  iiob«rt  ». 

VII.  P«f*  S   INVESTMENTS «Bd  TRUSTS-  tacome,  v«l»«, InimetlOBf    ^ipndnicM*n  Stt pp  M-i4 cf hatnMUmi) 


DocoflUpcM 

06/29/l»9a 


QkHaHtidioitafipaiaimd 


DocripiioiiorAticu 

iKdKOUwIitncfplicaUt.tnmtrpf 
Ikt  out  I  by  wins  f'W  panmthtlietti 
•(Jj'fcrjouti  a^^Ktrstuli  olrtpcrmt 
mdnutual imi ifiaa:  •(S)'jvmp- 
tmu  owmnlup  by  jpatat  'fDCJ' 
for  atmmlup  by  dc/xadnv  ctuU 

riaa  '00'  a/ltr  •flc*  <aKl 
tmm^frcm  prior  daclamrt 

=^^"NONE    (No  ra^fl2l< 


!  69  United  MnkSharu   (cca)    (DC) 


70  »  r  Hicro  D«vie«8  (COB)  (DC> 

71  King  Alltn  Guthrie  i  McHugh 


Gran  value      Traoaaion  4urin|  mmiiin  pchod 


fcpomng 


(I)  Taj     |Ti) 

VataclVataK    JTypt 
Co*  !  Method  (eg.  kvy. 
lyr)  jCode     lielLpnal 
(Q-W)    «*. 


If  aa  ewmpi  froa  diidorare 


C) 
Date 
MoMk- 
Day 


O)     («)       (« 
Valiie'Gaiii     Mendiy  of 
Code  ICode  |  buyer/fellcr 
(>P)  (A4»);  (ifprivw 


J        J 


72 


Our  law  finn.  King  Alko  Guthrie  &  McHugh,  has  t  buy-out  provinon  for  a  wiibdrawing  panoer. 
Punuast  tfaereto.  the  withdrawing  partner  is  compensated  by  payment  of  a  fixed  stun,  plus  bis  or  ber  capital 
account,  plus  his  or  ber  share  of  the  finn's  net  income  to  the  date  of  withdrawal  The  fixed  sum  is  ralnilairri 
00  Ihe  basis  of  the  withdrawing  partner's  units  of  participation  (percentage)  for  a  period  of  the  firm's 
expected  net  income,  based  on  the  firm's  Annual  Budget. 

As  of  the  end  of  1997.  the  value  of  my  capital  account  at  the  firm  was  approximately  $61,000. 
Based  upon  my  1998  percentage  ownership  of  the  firm,  the  value  of  the  buy-out  provision  is  approximately 
$33,000.  Upon  my  departure  from  the  firm.  I  would  receive  payment  of  that  sum.  plus  payment  of  my 
coital  account,  plus  payment  of  my  share  of  the  firm's  1998  oei  income  to  the  date  of  withdrawal. 


J 


1 

- 

—  ■    - 

!              1         ' 

i  78 

\ 

i          1 

|79 

1 

-- 

i 

Ui 

1 

-  - 

- 

— 

-   ■• 

|«  - 

1" 
1 

i 



— 

L. 

I  IncUain Codes  A-JI. 000 ot  lets 

'    (COIBI.D4)      F-t50,001-$ 1 00.000 

TlVal  Codes         )-S1S.000o(less 

I    (ColCI.D3)     O-SS00.001 -SI. 000.000 

|3VtlM0iCodcs   O-Appraisal 
I    (Col  C2)  U-Bool  Value 


B-Sl. 001-12,500 
G-S100.00I-SI.OOO.OOO 


O42.50l-J5.000 
HI-SI.OCO.OOI-SS.OOO.OOO 


D-SS.OOl -SI  5.000 
H2-SS.000.0OI  ormoft 


E-SI5.00I-SSO,000 


K-S1S.001-tSO.000  L-SSO.OOI-SIOO.OOO  KM100.001-S2S0.00O  N-S250.001-S500.000 

PI-SI.000.001-SS.000.000  P2-S5.000.0O1-S25.0OO.0O0  P3-S25.000.00l-S50,000,000  P4-SSO.000.001  or  more 


RH:osi  (ical  esuie  only) 
VKMier 


T-Caih/Makei 


149 


fNime  of  Person  Reporting  ;  D«e  of  Report 

nNANClAL  DISCLOSURE  REPORT     »tin9,   Robert  B.  106/29/1998 

Vni.     ADDITIONAL  INFORMATION  OR  EXPLANATIONS. 

fbtdicau  pari  t^rtpon.) 


PIkRT  2:  Re:  Law  rim  Buy-out:  cont'd  ...compensated  by  payment  of  a  fixed  sun,  plus  his  or  her  capital 
account,  plus  his  or  her  share  of  the  firm's  net  income  to  the  date  of  withdrawal.   The  fixed  sum  is 
calculated  on  the  basis  of  the  withdrawing  partner's  units  of  participation  (percentage)  for  a  period  of  the 
firm's  expected  net  income,  based  on  the  firm's  Annual  Budget. 

As  of  the  end  of  1997,  the  value  of  my  capital  account  at  the  firm  was  approximately  $61,000.   Baaed  upon 
my  1998  percentage  ownership  of  the  firm,  the  value  of  the  buy-out  provision  is  approximately  $33,000.   Upon 
■y  departure  from  the  firm,  I  would  receive  payment  of  that  sum,  plus  payment  of  my  capital  account,  plus 
payment  of  my  share  of  the  firm's  1996  net  income  to  the  date  of  withdrawal. 


iso 


I    Nmk  of  foiea  lUponiiii  j  DaceflU»en 

nNANCIAL  DISCUKURE  REFORT  !   Kin*,  *ob.rt  >.  .  ;  os/J»/l»»e 

SECTION  HEADING.    (iiidieii«p«ofiq«o«t) 
Infomution   continued  from  Parts   I   through  VI,    inclusive. 

rjkltT      3.   HON-IKVCSTHtNT  INCOHE    (cont'd.  I 
Lin*       Datt  Sourc*  and  Typ«  Grots  Xneca* 

S         IW       rannioil  rroductt  Coapuiy   (SI    (KoydtiMI  Houston,  TX 
(         Kit       ronnteil  rioducts  Coapviy   (SI    (Koyaltiosl     Houston,   TX 


151 


Nme  of  Penon  Reporting 
FINANCIAL  DISCLOSURE  REPORT  I   King.   Robert  B. 


DauofRepon 

06/29/1998 


K.  CERTmCATION 


In  compli 
Judicial  Acti 

adjudicatory  function  in  a 
minor  or  dependent  childre 
litigation. 

I  certify  that  all  the 
dependent  children,  if  any 
information  not  reported  w 


th  the  provisions  of  26  U.S.C.  4SS  and  of  Advisory  Opinion  No 

and  to  the  best  of  my  knowledge  at  the  tine  after  reasonable 

n  in  any  litigation  during  the  period  covered  by  this  report 

a  financial  interest,  as  defined  in  Canon  3C(3)(c 


y  Co 


57  of  the  Advi 
inquiry,  I  did  not  p< 
.n  which  I,  my  spouse 
,  in  the  outcome  of  ; 


information  given  above  (including  information  pertaining  to  my  spouse  and  minor  or 

is  accurate,  true,  and  complete  to  the  best  of  my  knowledge  and  belief,  and  that  any 
s  withheld  because  it  net  applicable  statutory  provisions  permitting  non-disclosure. 


I  further  certify  that  earned  income  from  outside  employment  and  honoraria  and  the  acceptance  of  gifts  which 
have  been  reported  are  in  compliance  with  the  provisions  of  5  U.S.C.  app.  4,  section  501  et.  seq.,  5  U.S.C.  7353 
and  Judicial  Conference  regulations. 


»u.,^.^^^. 


V^"   -     OateXvy.^  •;^^^  \^^^ 


Any  individual  who  knowingly  and 
may  be  subject  to  civil  and  crinu 


ilfully  fals 
al  sanctions 


ties  or  fails 
(5  U.S.C.  App. 


nUNG  INSTRUCTIONS 

Mail  original  and  three  additional  copies  to: 

Committee  on  Financial  Disclosure 
Administrative  Office  of  the  United  Sutes  Conrts 
One  Columbus  Cirelc,  N.E. 
Suite  ^30l 
Washington,  D.C.  20S44 


152 

SENATE  RESPONSE  (PUBLIC) 
EXHIBITS  21-A  through  21-D 


ROBERT  BRUCE  KING 


JnJy  3, 1998 


153 


FINANCIAL  STATEMEhT 
(NET  WORTH) 


July  3.  1998 


Provide  a  complete,  current  finaocUl  net  wonh  SBteioeni  which  itcmizei  in  detail  aU  aueis 
(jncludiBf  bank  accounts,  rial  ccute,  jecuiilics,  inuu,  investmenu.  and  ocbci  fjnancial  holdings)  all 
liabiUry  (include  detns,  mongtges.  loans,  and  other  financia]  obligaiioni)  of  yourself,  your  spouse,  and 
othet  immediate  metnben  of  your  bousebold. 


Ksm 

lIABiLiflES 

~           ■    ~ 

Cuh  00  band  and  in  banlo 

Lined  securiiki  —  add  tcluxlule 
SCHEDULE  A 

Accovmu  ud  DOUc  Ttreivablc: 
Due  (torn  Tclacrwi  and  triends 
IXie  fromocfacn 
Doubtful 

Real  eiuie  owned  —  add  icKcdule 

SCHUJULEB 
Real  etuu  iiion{agc>  receivable 
Auics  and  other  penooal  pinpcny 

Ca&h  value  —  liie  inntuicc 
Other  uuu  —  iamiir; 
DtA    SCHEDULE  C 

120.000 
-0- 

ScbednlcE 
Notu  payable  lo  banks  —  uniacuicd 

Nom  pvable  lo  leladves 

Nous  payable  to  others 
Aczaonis  and  bills  due 
Unpaid  income  ux 
Other  unpaid  uA  and  interest 
Kcal  estate  monfafcs  pqnble  — 

Schedule  E 
rhsltfl  mortgages  and  other  liens  payable 

Other  debts  —  iicmice: 

414.000 

-0 

Se78.328 

-0- 

-0- 

-0- 

-0- 

-0 

-0- 

-0- 

-0- 

-0- 
^136,756 

-0- 

S40D.oao 

-0 

-0- 

-0- 

SfiO.QOO 

Lift  JftPTnivy  ^liiy  l.^an^ 

(Nonbwetteni  ML  Insanncc  Compaiiy) 

$34,000 

$170,000 

$91,746 

Fcitsloo  PUiu  -  SCHEDULE  O 

M9U33 

Ibtal  babiUtjei 

Nat«artb 

Ibul  liahiliius  and  net  worth 

$184,756 
P,22«,651 

Intenst  Is  Law  Finn 

$100,000 

Total  assets 

52.413,407 

$2,413,407 

CONTlNGEXr  UaBUJTCES 

GENERAL  1NTOR.MATI0N 

As  endorm,  co-nuliei  itt  guarauor 

1)  Lav  run  Line  of  CirdiL,  with  h* 
partnm  ■  S2i)0,000  00 

Balancf 

2)  Law  tlnn  loan  on  cofflputer 
equlpmeni 

Balance 
On  leases  or  cCDincn 

Legal  Claioi 

Pnivisun  fbi  Federal  Income  Tk* 

Other  (DceUl  debt 

SIS  .000 

Art  any  assets  pledged''  (Add  schedules) 

NO 

$116,900 

-0- 

actioM? 

NO 

■0- 

Have  you  ever  lakio  bankruptcy? 

NO 

-0- 



-9- 

Senate  Rcaponsc  (Public)  Exhibit  21*A 


154 


SCHEDULE  A 

TO 

FINANCIAL  STATEMENT  OF 

RQBBKT  BWCF.  KTNg  OF  mx  1,  199R 

JJ.B.  HUJianl,  W.L.  Lyons,  Inc. 
Ourleston,  WV  2S301 

1.  Koberc  B.  King 

American  Online  lac  Del 
Bankssierica  Coip 
Cisco  Sysmns  Inc 
Coc«  CoU  Company 
Con^aq  Conqratcr  Coip 
Dell  Computer  Coip 
MUi  Disney  Company 
Intel  Cotp 
Meick  &  Co  Inc 
Microsoft  Coip 
Moigin  Stanley  Dean 
Oracle  Coipontion 
Pepsico  Incoiponied 
Procter  &  Gvnble  Co 

Money  Market  Puois $3,628.61 

TOTAL  OF  ACCOUNT S605,338.61 

2,  Reben  B.  King  Special  Account 


CAS  OF  3  JULY  98) 

UrgHAMTQ 

^Uj£ 

1200 

126,150.00 

200 

17,300.00 

300 

27.618.75 

400 

34,200.00 

2500 

70.937.50 

600 

SS.687.S0 

200 

21.012.50 

100 

59,300.00 

300 

40.125.00 

400 

43,350.00 

330 

30,153.75 

600 

14.737.50 

600 

24.712.50 

400 

36,425.00 

Qsue^sx. 

N0.0rSHAKF9 

(AS  OF  3  JULY  98) 

At  Home  Coip  Ser  A 

200 

9,462.50 

American  Online  Inc  Del 

200 

21,025.00 

Dell  Computer  Cotp 

200 

37.125.00 

LSI  Logic  Cotp 

100 

2.306.25 

Oracle  Coiporadoo 

100 

2.456.25 

Money  Marka  Funds S613  93 

Tbtal  of  Accouv |72,988.93 

TOTAL  OF  SECUBITIES  ACCOUNTS  S67B.327.S4 


155 


SCHEDULES 

TO 

FINaNCX\L  STATEMENT  OF 

ttQBKW  BftUCP-  KING  OF  JULY  3.  1998 

PmI  Estill'  Qnv^ 

{Joim  TtOMDcy  wiUi  SuivivorBtup)  (with  Julia  D.  King.  Spoose) 

Brsirtwyr: 

Charlotcm,  litest  Vlisinia 

Air  Market  VWuc:     $400,000 


lOrAL  REAL  ESTATE $400,000 


SCHEDULE C 

TO 

FINANCIAL  STATEMENT  OF 
RPBEKT  BKUCF.  KING  PF  I\JIX  1 .  199S 


J  J  B.  Hilliard.  W.L.  Lyons.  Inc. 
Charlejion,  WV  25301 


(AS  OF  3  JULY  98) 

coNfPAKV  NO.  OF  SHAMff  ^UUE 

American  Onlme  Inc  Del  200  21.025.00 

Amer  Express  Co  100  11.375.00 

Compaq  Computer  Corp  400  11.350.00 

Intel  Corp  90  6.671.25 

Procter  &  Gamble  Co  200  18.212.50 

Cisco  Systcffis  100  9.206.25 

Eli  Lilly  &  Co.  100  6,625.00 

Mort^  Market  Fund 57.280.81 

Tbtal  of  Account $91,745.81 


156 


SCHEDULED 

TD 

FINANCIAL  STATEMENT  OF 

KftTtCTT  BMTCT:  KINO  OF  lUIY  3.  1998 


PPTltitW  ^»"« 


King  Allen  Guthrie  ft  McHu^  Money  Puichue  Plan 

hnsion  Fund 

TRUSTEE:  Bank  One,  West  VUginia,  Charlenoa,  WV 

SelfDliecied 

J.J.B.  HlUiaid.  W.L.  Lyoiu.  Inc 

Charlettoa.  WV  25301 


(AS  OF  3  JULY  98) 

coMBcnr 

NO.  OF  SPACES 

VALUE 

Cisco  Syslsc 

600 

55.237.50 

Cidcorp 

200 

29.850.00 

Coca  Cola  Co 

600 

51,300.00 

Compaq  Compuier  Coip 

UOO 

42,562.50 

Dell  Computer  Corp 

100 

74.250.00 

Will  Disney  Co 

300 

31.518.75 

Federal  Home  Ln  Mtg  Corp 

500 

23.531.25 

Fim  Un  Corp 

400 

23.300  00 

CilletieCo 

400 

22.750.00 

Hilton  Hotels  Coip 

300 

8,587.50 

Intel  Corp 

400 

29.650  00 

Johnson  &  Johnson 

500 

37.000.00 

EU  Lilly  &  Co 

600 

39.750.00 

Meick  A  Co  iDc 

300 

40.125  00 

Microsoft  Corp 

600 

65,025.00 

Morgan  Stanley  Dean 

500 

45.687.50 

Nike  Inc 

400 

19.475.00 

Fepsico  Inc 

400 

16,475.00 

Pflserlnc 

400 

43,475.00 

PNC  Bank  Coip 

300 

16.162.50 

Schcring  Plough  Corp 

300 

27.487.50 

Tricon  Global  Restauianu  inc 

40 

1.267.50 

^lU  Paigo  A  Co 

100 

36.900  00 

Monev  Markm  Fund 

$19,000.00 

Ibta]  of  Account 

$800,367.50 

157 


SCHEDULED 

TO  FINANCIAL  STATEMENT  OF 
RDBEKT  BRUCE  KING  OP  JULY  3.  1998 
fCPNTTWUEP) 

King  Allm  Guduie  It  McHugh  Piofit  Sharing  Plan 

TRUSTEE:  Bank  One.  ^fc«  Vufinia,  Chirlesum.  WV 

Self  Oirecied 

J.J.B.  Hilluid.  W.L.  Lyons.  Inc. 

C3urlesuia.  WV  25301 


coM»jinf 

Afficrican  Online  Inc  Del 

Asoend  Communicaaons  inc 

Ai  Home  Corp  Ser 

Cisco  Sys  Inc 

ESS  IKJuxjlogy  Idc 

Gateway  2000  loc 

LSI  Logic  Coip 

Oracle  Corp 

Furgain  Technologies  Inc 

SaaE^te  Ikchnology 

Sun  Microsystems  Inc 

VfeHdcom  Inc 

'^bbooloc 


200 

100 
100 
100 
100 
100 
100 
150 
200 
100 
100 
100 
150 


(AS  OF  3  JULY  98) 

11.025  00 
4.956.25 
4.731.25 
9.206.25 
468.75 
5,000.00 
2,306.25 
3.684.37 
3,487.50 
2,387.50 
4.343.75 
4.843  75 

23,625.00 


Money  Market  Fund $2,900.00 

TboJ  of  Account S92,96S.62 

Tbul  Pension  Plana $893,333.12 


SCHEDULE E 
TO 

FINANCIAL  STATEMENT  OF 
ROBF.RT  BRUCE  KINC?  PF  ATI.Y  3  199B 


Halaprp  Owir^ 


1.  gf b1  ntatf  Mflrtwew  Fayahk 

Kflldfocc.  Cbarlcstoo,  V^t  VTuj^inia 
Bank  One.  >^^  Vltiinia 


$136,756 


2.  AutoBudtikXABn 

Bank  One,  West  Virginia 


S14.000 


158 


SCHEDULE  A 

TO 

FINANCIAL  STATEMENT  OF 

JUI.IA  P  KING  fSpgmg) 


Liiffnt  SrtnrttJB 

J.J.B.  HiUurd,  W.L.  Lyons.  Inc. 

Charleston,  WV  25301 


Julia  D.  King 


(AS  OF  30  JUNE  98) 

qoM^Mff 

NO.  OF  ,«!»IARES 

Vf^l^S. 

AbeRiombie  Sl  Pitcb  CI  A 

100 

4.400.00 

Cisco  Systcnu  Isc. 

7S 

6.904.68 

DeU  Comfnuer  Coip 

100 

18.562.50 

Fedl  Home  Loan  M^  Coip 

200 

9,412.50 

Merck  &  Co  loc 

100 

13.375  00 

Money  Maries  Funds 

$5  116  98 

TOTAL  OF  ACCOUNT 

$57,771.66 

E.I.  Dupont  Dc  Nemovus  <  Co  36  2.68S.75 

(Stock  Certificate  held  persooaUy) 

TOTAL  OF  SECURITIES    $60,460.41 


159 


SCHEDUXJIB 

TD 

FINANCIAL  STATEMENT  OF 

JUT  JA  D  KING  (Span,^\ 


IBS 

Juli*  D.  King 

J.J.R  Hilliard.  W.L.  Lyons.  Inc. 

Chaxlesttm.  WV  25301 


(AS  OF  30  JUNE  98) 
POMPANY  Nft  QF  SHAMS  XiUX 

Cisco  Systems  lac  75  6.904.68 

MerckiCoInc  11  1.471.25 

^lodmue  Dunble  Holding  (  214.87 

Money  Market  Funds $565.71 

TOTAL  OF  ACCOUNT $9,156.51 


SCHEDULE C 
TO 

FINANCIAL  STATEMENT  OF 
TUUA  D  KTNr.  fSpniwe^ 


Various  ical  esute  interests  in  oil  and  natural  gas  iocaud  in  Tyler.  Doddridge.  Riuhie  and 
Wct2el  Counties  of  West  Viifinia.  inhehifd  from  spoiise's  mother  in  1993  Income  is 
received  by  spouse  with  respect  to  these  various  interests  from  the  following: 

Pennzoil  Products  Company.  Oil  City,  PA 

penozoil  Exploration  and  Production  Co..  Houston,  TX 

Hah  Petroleum.  Inc.,  Agem,  Smiibvlllc,  WV 

Ttek,  Inc..  Vienna.  WV 

Carl  E.  outers.  Alvy,  WV 

Ergon  Oil  Purchasing,  Inc. ,  Jackson.  MS 


RUR  MARKET  VALUE $25,000 


160 


FINANCIAL  SMTEME^TT 
(NET  W3RTH) 


June  30,  1998 


BnnraTwiTrPiTTwr.  tb  /«:«m 


Provide  a  complete,  cuncju  fttiinri»l  net  «anb  wmmwii  which  itemiiH  in  deail  til  uteu  (including 
bank  icrminw.  real  euaxe.  lecuitcies.  vua,  invettsieds,  and  other  ftuncial  holdings)  Ul  liability  (inchide 
deba,  mongagu,  loans,  and  other  financial  obligations)  of  jvurself.  your  ^>eusc,  and  other  immediaie 
members  of  yovu  botisehold. 


LumnTUU 

"^^ -^ 

US  GovenuDetB  iccuritiai  —  add  icbediile 
U«ed  lecisUet  -  SCHEDULE  A 
Unlisted  secOHries  -  add  (chedule 
Aceousis  and  octes  RceivibU: 

Due  baa  idazivei  od  ftieods 

Due  bnaoAen 

Ooubtfu] 

Keal  snale  (wned  —  add  icbsdule 
Real  esuie  monp^  nseivable 
Aum  and  oltier  penoul  pnpeny 
Caih  value  —  lifc  iuunoce 
Other  isseu  —  itemize: 

$200 

Nota  p<y«hlc  «D  bacia  —  leased 

Notst  payable  to  relatives 

Haiti  payable  lo  otheis 

Accotmu  tsd  bills  ^"^ 

Umiid  iocooie  tax 

Oibcr  uspaid  tax  and  ioliBresi 

Seal  estate  moitgigei  payable  —  idd 

Other  debts  —  Itesus: 

•0- 

■0- 

-0- 

1S4,164 

-0- 

-0- 
-0- 

•0- 

o- 

-0- 

-0- 

jy 

-0- 

Ji- 

■0- 

-0- 

-0- 

-0- 

-0- 

Sl.OOO 

-0- 

Tbtai  1'fHli^^' 

Netiwoih 

Ibtal  lUbOldet  and  net  wrrb 

-0- 

$55,364 

Total  aueti 

$55,364 

$53,364 

CONTINGENT  LlAStLITIES 

GENERAL  IWPORMAnON 

As  taiana.  co-marker  or  guaiastor 

Ob  leaie<  or  eontiacts 

Lejal  Clainu 

Provision  fbc  KderaJ  Income  Ikz 

-0- 

Aie  any  asiea  pledged?  (Add  tdiedulet) 

NO 

■0- 

Ar  )qu  ddaodani  In  any  luits  or  Icjal 

jctions? 

NO 

-0- 

Have  )DD  ewr  lakan  baokn^tey? 

NO 

•0- 

-0- 

Senate  Rcfpoue  (Public)  Exhibit  21-C 


i«i 


SCHEDULE  A 

TO 

FINANCIAL  STATEMENT  OF 

yBPBT  HftUCF.  KTNO  JS.  fSooJ 


J  J.B.  HiUurd,  W.L.  Lyons.  Inc. 
QarlestOT,  WV  25301 

Koben  Bruce  King  Ii. 

(AS  OF  30  JUNE  98) 
CnMyANV  BO  OF  SHaBKS  SALUfi 

ABcric  Online  IncDd  «00  42.050.00 

100  3.068.7S 


3ComCoip 

__  SO  5.434.37 

MB«y  MartoFonds    •cSlilS 

TOTAL  OF  ACCOUNT  . 5>4,lM.35 


162 


FINANCIAL  STATEMENT 
(NETWDKTH) 


IOmSO,  19n 


WTU.1AM  VntVKS  KTHC,  n  ftor^ 


Provide  a  cosplcB,  eunuu  ^^"jniHai  net  wmb  itatcnifiit  v^iidi  licoklsi  in  detail  ill  used  (jadudiog  biak 
iccouDU,  Ril  utjte,  (ecurlties,  mifu,  Isvesnnaiu,  xsd  ocher  finmcial  boktingj)  all  liibilily  (include  deba. 
mort^ieei.  loins,  lod  otiscr  finmrul  obUgaiJuu)  of  younelf,  your  wpeast.  md  other  imioediate  msmben  of  your 
bouuhold. 


r^^ ^-' — ^ — -AStikTr— "- 

1'    ■'                 ■■uJteajriKs-  '  — 

Luied  securities  —  SCHEDULE  A 

/SrrfnnirT  *^'^  DotcJ  rccfiviblc: 
Due  frem  ieUliv«i  and  ftieods 
Due  bomotbers 
Doubtful 

Real  estate  mcmffect  receivable 
Auioi  and  oAcj  penonal  prepeti)' 
Cub  v^ue  —  life  iutuziBce 
Other  asset!  —  itemize; 
IRA  ■  SCHEDULE  B 

$1,500 

Nolo  p^lble  CO  bails  —  lecwed 
Notti  P4^U  to  bmJo  —  tmsecuTEd 

Notes  pvable  la  nltti^w 
Nacea  pqrablc  to  olbsti 
V~"iT*'  iDd  bdlb  due 
Uopaid  '^"****  tax 

Real  eitaie  mtmggtt  pQ«bU  —  idd 

schedule 

Cttaoel  xxKUTfiuu  and  oi&er  liens  pnahle 

Othfif  debts  —  llemiiB: 

ili.KO 

-0- 

•D- 

sn.249 

■C- 

-0- 

-0- 

^- 

-0- 

-0- 

-0- 

-0- 

-0- 

•o- 

-0- 

-0- 

.0- 

-0- 

-0- 

S24.acio 

-0- 

S2.367 

Ibol  liabililies 

Nelvonb 

Tool  liabililies  and  net  venb 

sij.no 

$«,3I6 

Total  asica 

{110,116 

sno.116 

CONTWGENT  UABUJTIES 

GENERAL  WPORMATION 

A>  eudoner.  co-tnaliri  oi  guariDtor 
Ob  le^es  or  oaonaj 

LiCgal  Claims 

Prmision  for  Fedenl  bccnse  Tkx 

Othet  ipcetal  debt 

-0- 
-0- 

Alt  aw  asacu  pledged?   (Add  icbedulei ) 

NO 

Are  )<au  (iffrrilMt  in  any  sniu  or  legal 
aciicoi? 

NO 

-0- 

Hiw  >Da  over  taken  bankruptcy? 

NO 

-0- 

•0- 

Senate  Rcspoue  (PabUc)  Exhibit  2I-D 


163 


SCBEDUUA 

TO 

FIKANCIAL  STATEMENT  OF 

Wn  I  I^M  WBVAW  lOWQ  n  fSanI 


Uat^ 


UB.  HiUitrd,  WX.  Lyoos.  Inc. 
CbariwiDii.  WV  25301 


(ASOF30JtME98) 

co\fPAXV  w()  nv  fff\fv<t  Yi^uiL 

CiKo  Systems  Idc  150  13.809.37 

hs  Am  Cop  300  SO.OO 

Cos^sq  Coaynner  100  2,837.50 

Ai  Home  Corp  Sa  A  100  4,731.25 

America  Osliae  Ik  Del  300  21.02S.00 

DeU  Comjmwr  Corp  300  27.843.75 

InirrMrional  Pibercom  100  871.87 

buel  Cocp  100  7.412.S0 

Onde  CotporatioD  ISO  3.6M.37 

KF  Micro  Devicei  lOO  1,087.50 

TOTAJ.    $83,353.11 

M«ipB ($1,104  47) 

TOTAL  OF  ACCOUVT $82,248  64 


5CSEDULEB 

TO 
FINANCIAL  STATEMENT  OF 

Wn  MAM  BBVAN  KTMO  n  fSnr.^ 


ISA 

J.J.B.  Hilliud,  W  L.  Lyou.  Iw. 
Charktum,  WV  25301 


(AS  OF  30  JUNE  9Q 
COMTaNY  wft  OF  SHAWM  YdUS, 

Compaq  OsBpoieT  30  89123 

Uniiad  RanlBhares  Inc  W  >^  40  1,365.00 

Monq- Market $151.10 

TOTAL  OF  ACCOIWT $2,367.35 


164 
SENATE  JUDICIARY  COMMITTEE  QUESTIONNAIRE 

WILLIAM  B.  TRAXLER,  JR. 

FOURTH  CIRCUIT  COURT  OF  APPEALS 

1998 


165 

SENATE  JUDICIARY  COMMITTEE  QUESTIONNAIRE 
I.   Biographical  Information  (Public) 

1.  Full  name  (including  any  fornner  names  used.) 

William  Byrd  Traxler,  Jr. 

2.  Address:    List  current  place  of  residence  and  office  address(es). 

Office:  300  East  Washington  Street 

Greenville,  SC    29601 

Home:  Greenville,  South  Carolina 

3.  Date  and  place  of  birth. 

May  1 ,  1 948  Greenville,  South  Carolina 

4.  Marital  Status  (include  maiden  name  of  wife,  or  husband's  name).  List  spouse's 
occupation,  employer's  name  and  business  address(es). 

Patricia  Walden  Alford  Traxler 
Computer  Instructor 
Greenville  Technical  College 
South  Pleasantburg  Drive 
Greenville,  SC   29607 

5.  Education:  List  each  college  and  law  school  you  have  attended,  including  dates 
of  attendance,  degrees  received,  and  dates  degrees  were  granted. 

Davidson  College,  1966-70 
B.A.  English,  June  1970 

University  of  South  Carolina,  1970-73 
J.D.,  May  1973 

6.  Employment  Record:  List  (by  year)  all  business  or  professional  corporations, 
companies,  firms,  or  other  enterprises,  partnerships,  institutions,  and 
organizations,  nonprofit  or  otherwise,  including  firms,  with  which  you  were 
connected  as  an  officer,  director,  partner,  proprietor,  or  employee  since 
graduation  from  college. 


166 


Summer 
1970 


1 970  to  present 

Summer 
1971 


Summer 
1972 


1972-73 


1973-74 


1975-81 


Law  clerk 

William  Byrd  Traxler,  Sr. 
606  East  North  Street 
Greenville,  SC    29601 

Davidson  College  Alumni  Association 
President,  1 974  (date  is  approximate) 

Law  clerk 

William  Byrd  Traxler,  Sr. 
606  East  North  Street 
Greenville,  SC   29601 

Director  of  research  grant  from  American  Bar 
Association,  administered  by  University  of  South 
Carolina  School  of  Law 
Columbia,  South  Carolina 

Part-time  law  clerk 
Legislative  Affairs  Department 
Office  of  the  Governor 
Columbia,  South  Carolina 

Attorney 

William  Byrd  Traxler,  Sr. 
606  East  North  Street 
Greenville,  SC   29601 

Chief  Deputy  Solicitor 

Office  of  the  Solicitor-William  W.  Wilkins,  Jr. 

(State  District  Attorney) 

Thirteenth  Judicial  Circuit 

Greenville  County  Courthouse 

Greenville,  SC   29601 


1981-84  Rape  Crisis  Council  of  Greenville 

Chairman,  Board  of  Directors,  1 984 
(Dates  are  approximate) 


1982-85 


YMCA  Camp  Greenville  Board  of  Directors 


167 


1982-85  Solicitor,  Thirteenth  Judicial  Circuit 

(State  District  Attorney) 
Greenville  County  Courthouse 
Greenville,  SC   29601 

1985-92  Resident  Judge,  Thirteenth  Judicial  Circuit 

Greenville  County  Courthouse 
Suite  322 
Greenville,  SC   29601 

1 992  United  States  District  Judge 
District  of  South  Carolina 
300  East  Washington  Street 
Greenville,  SC    29601 

1 993  to  present      Federal  Judges  Association 

Board  of  Directors,  1998 

7.  Military  Service:  Have  you  had  any  military  service?  If  so,  give  particulars, 
including  the  dates,  branch  of  service,  rank  or  rate,  serial  number,  and  type  of 
discharge  received. 

I  was  commissioned  2nd  Lieutenant  USAR,  Field  Artillery,  in  1 970  and 
changed  my  branch  to  Adjutant  General  in  1972.  I  was  on  inactive  duty 
until  I  was  placed  on  active  duty  to  attend  the  Officers'  Basic  Course  at 
Fort  Benjamin  Harrison  in  Indiana  in  1974  where  I  was  a  1st  Lieutenant 
and  finished  as  one  of  the  top  ten  graduates  of  that  course.  That 
completed  my  active  duty,  and  I  then  became  affiliated  around  1975  with 
a  reserve  unit  as  a  training  officer.  The  reserve  unit  was, 2d  Battalion, 
323rd  Regiment,  1st  Brigade,  108th  Division  (Tng),  Greenville,  South 
Carolina.  I  was  in  this  unit  for  less  than  a  year  and  was  then  transferred 
to  inactive  reserve  for  the  remainder  of  my  commitment.  I  was  honorably 
discharged  on  June  13,  1978,  and  my  Serial  No.  was  250-80-0391. 

8.  Honors  and  Awards:  List  any  scholarships,  fellowships,  honorary  degrees,  and 
honorary  society  memberships  that  you  believe  would  be  of  interest  to  the 
Committee. 

College:    Davidson  College 

Dean's  List 

Scabbard  and  Blade  Honorary  Military  Society 


168 


Law  School:    University  of  South  Carolina 

Law  Review 

Director  of  American  Bar  Association  grant 

Omicron  Delta  Kappa,  leadership  fraternity 

Professional: 

Award  from  Bonner  R.  Kidd  Home  for  Alcoholics  for  "untiring 
efforts  to  improve  the  quality  of  justice  in  the  Thirteenth  Judicial 
Circuit." 

Outstanding  Young  Men  of  America. 

Citation  of  Appreciation,  American  Legion,  Greenville,  South 
Carolina. 

Outstanding  Service  Award,  South  Carolina  Solicitor's  Association. 

Award  for  Outstanding  Service  to  Victims,  Southeastern 
VictimA/Vitness  Conference. 

Resolution  of  Commendation,  Mayor  and  City  Council,  Greenville, 
South  Carolina. 

Resolution  of  Appreciation,  County  Council,  Greenville  County, 
South  Carolina. 

Leadership  Award,  South  Carolina  Department  of  Probation, 
Parole,  and  Pardon  Services. 


Bar  Associations:  List  all  bar  associations,  legal  or  judicial-related  committees, 
or  conferences  of  which  you  are  or  have  been  a  member,  and  give  the  titles  and 
dates  of  any  offices  which  you  have  held  in  such  groups. 

1 973  to  present      South  Carolina  Bar  Association 
Criminal  Law  Council,  1981 

1 973  to  present      Greenville  County  Bar  Association 

1981  to  1985         South  Carolina  Solicitor's  Association 


169 


1 982  to  1 985  South    Carolina     Law     Enforcement     Coordinating 

Committee 

1 982  to  1 992         South  Carolina  Prison  Overcrowding  Project 

1 985  to  1 992         South  Carolina  Circuit  Judges  Association 

1987  to  1992  Governor's  Committee  on  Criminal  Justice,  Crime, 

and  Delinquency 

1 988  to  1 992  Hearing  Master,  Judicial  Standards  Commission 

1989  to  1992  South  Carolina  Sentencing  Guidelines  Commission 

Chairman,  Grid  Subcommittee 

1 989  to  1 990  Advisory  Committee  of  the  United  States  Sentencing 

Commission  on  Alternative  Punishments 

1 990  to  1 991  American  Judges  Association 

1990  to  1992  Ad  Hoc  Committee  on  the  South  Carolina  Rules  of 

Civil     Procedure,     Appointed     by     South     Carolina 
Supreme  Court 

1 990  to  present      Participating  Fellow,  South  Carolina  Bar  Foundation 

1 990  to  1 992  Advisory  Committee  on  Court-Annexed  Arbitration 

South  Carolina  Law  Institute 

1991  to  1992         South  Carolina  Uniform  Jury  Charge  Project 

1 992  to  present      District  Judges  Association,  Fourth  Judicial  Circuit 

1 993  to  present      Feder^Judges  Association 

Board  o^drectors,  1 998 


10.  Other  Memberships:  List  all  organizations  to  which  you  belong  that  are  active 
in  lobbying  before  public  bodies.  Please  list  all  other  organizations  to  which  you 
belong. 


170 


Lobbying: 

1973  to  present  South  Carolina  Bar  Association 

1973  to  present  Greenville  County  Bar  Association 

1981  to  present  American  Legion 

1990  to  present  Carolina  Motor  Club  (AAA) 

1992  to  present  District  Judges  Association,  Fourth  Judicial  Circuit 

1  993  to  present  Federal  Judges  Association 
Non-lobbying: 

1 948  to  present  Christ  Episcopal  Church 

1 970  to  present  Davidson  College  Alumni  Association 

1981  to  present      Piedmont  Dance  Club 

(By-Laws  attached  as  Attachment  A) 

1  990  to  present      South  Carolina  Bar  Foundation 

1  1 .  Court  Admission:  List  all  courts  in  which  you  have  been  admitted  to  practice, 
with  dates  of  admission  and  lapses  if  any  such  memberships  lapsed.  Please 
explain  the  reason  for  any  lapse  of  membership.  Give  the  same  information  for 
administrative  bodies  which  require  special  admission  to  practice. 

State  of  South  Carolina,  all  state  courts 
November  3,  1  973 

United  States  District  Court 
District  of  South  Carolina 
April  16,  1973 

United  States  Court  of  Appeals 
Fourth  Circuit 
October  15,  1974 

United  States  Supreme  Court 
September  18,  1981 


171 


12.  Published  Writings:  List  the  titles,  publishers,  and  dates  of  books,  articles, 
reports,  or  other  published  material  you  have  written  or  edited.  Please  supply 
one  copy  of  all  published  material  not  readily  available  to  the  Committee.  Also, 
please  supply  a  copy  of  all  speeches  by  you  on  issues  involving  constitutional 
law  or  legal  policy.  If  there  were  press  reports  about  the  speech,  and  they  are 
readily  available  to  you,  please  supply  them. 

Please  see  Attachment  B  for  copies. 

"An  Empirical  Examination  of  the  235  Housing  Program,"  25  South 
Carolina  Law  Review.  No.  1,  pp.  93-149,  1973. 

"The  Problem  of  the  Mentally  III  Criminal  Defendant,"  3  SCLEOA 
Maaazine.  No.  2,  pp.  20-21,  1982. 

"Removal  of  Bullets  from  Wounded  Defendants,"  3  SCLEOA  Magazine. 
No.  5,  pp.  6-8,  1982. 

"Using  Confidential  Informants,"  1  SCLEOA  Update.  No.  6,  p.  13,  July 
1984. 

"Allocating  Responsibility  Among  Tortfeasors  After  the  Adoption  of 
Comparative  Negligence,"  19  The  Defense  Line.  No.  3,  pp.  7-9,  Summer 
1991. 

"Comparative  Negligence  in  South  Carolina:  Adopted  but  Unresolved," 
South  Carolina  Lawyer,  pp.  32-36,  July/August  1991. 

I  have  written  materials  for  the  Continuing  Legal  Education  (CLE)  and  the 
Judicial  Continuing  Legal  Education  (JCLE)  programs  of  the  South  Carolina  Bar: 

Criminal  Law  Review  and  Update,  #82-34 

October  15-16,  1982 

"Judge  and  Lawyer  Problems  in  the  Trial  and  Sentencing  of  Mentally  III 

Defendants." 

Persuasive  Trial  Techniques:   The  Judicial  Perspective,    #89-50 

January  13,  1989 

"Persuasive  Techniques  in  Opening  Statements  and  Closing  Arguments." 


172 


Fifth  Annual  Criminal  Law  Update,  #90-04 

January  25-26,  1990 

"View  from  the  Bench:     Issues  Relating  to  the  Judge,   Prosecutor, 

Defense  Counsel,  and  Conduct  of  Trial." 

Evidence  Law  with  a  Special  Emphasis  on  the  Use  of  Medical  Evidence 

in  Civil  Actions,  #90-44 

December  14,  1990 

"Recent  Developments  in  the  South  Carolina  Law  of  Evidence." 

1994  Bridge  the  Gap 

March  1,  1994 

"U.S.  District  Court  Practice-A  Perspective  From  the  Trial  Bench." 

The  New  South  Carolina  Rules  of  Evidence-From  a  Criminal  Practice 

Perspective 

June  9,  1995 

"Article  Vll-Opinions  and  Expert  Testimony" 

That  Was  the  Year  that  Was-A  Survey  of  the  Most  Important  Legal 

Developments  of  1996 

January  3,  1997 

"South  Carolina  District  Court  Practice  and  Procedure  Update." 

That  Was  The  Year  That  Was-A  Survey  of  the  Most  Important  Legal 

Developments  of  1  997 

January  9,  1998 

"South  Carolina  District  Court  Practice  and  Procedure  Update." 

Rules,  Rules,  Rules 

March  20,  1998 

"Motion  Practice  in  Federal  Court." 

I  have  prepared  written  material  for  the  Greenville  County  Bar  Association. 

1992  "The    Ramifications    of    the    Adoption    of    Comparative 

Negligence  in  South  Carolina" 

I  have  prepared  written  material  for  the  annual  Judicial  Conference  sponsored 
by  the  South  Carolina  Supreme  Court.   The  topics  include: 


173 


1 990  "Arguments  in  Death  Penalty  Cases" 
"Right  to  Counsel" 

"Guilty  Pleas" 

I  have  prepared  written  materials  for  the  annual  meeting  of  the  South  Carolina 
Circuit  Judges  Association.   The  topics  include: 

1991  "Expert  Testimony:   The  Inadmissible  Becomes  Admissible" 

1991  "Guilty  Pleas" 

1995  "The  Admissibility  of  Expert  Testimony:  South  Carolina 

Rules  of  Evidence-Rules  702  and  703" 

I  have  prepared  written  materials  for  the  annual  New  Judges  School  sponsored 
by  the  South  Carolina  Supreme  Court. 

1991  "Sentencing  Criminal  Defendants  in  South  Carolina" 

I  have  presented  written  material  to  the  South  Carolina  Defense  Trial  Lawyers 
Association.   The  topic  was: 

1992  "Comparative  Negligence-Multiple  Defendants" 

I  have  presented  written  material  to  the  South  Carolina  Solicitors  Association. 
The  topic  was: 

1 995  "Article  Vll-Expert  Testimony" 

With  the  exception  of  a  discussion  on  the  prepared  materials  submitted,  I  have 
not  given  any  speeches  on  constitutional  law.  With  regard  to  legal  policy,  I 
gave  a  speech  to  the  Greenville  Bar  Association  that  dealt  with  the  subject  of 
frivolous  law  suits  in  1986.  I  do  not  have  my  notes  from  that  talk,  but  I  have 
attached  copies  of  newspaper  articles  about  it.  I  have  also  attached  articles  I 
have  written  for  the  newspaper  on  various  aspects  of  legal  policy. 


While  I  served  on  the  South  Carolina  Prison  Overcrowding  Project,  several 
evaluations  and  reports  were  issued.  Although  I  neither  wrote  them  nor  edited 
them,  I  have  attached  them  as  information. 

Please  see  Attachment  C  for  copies. 


174 


13.  Health:  What  is  the  present  state  of  your  health?  List  the  date  of  your  last 
physical  examination. 

Excellent. 
May  20,  1998. 

14.  Judicial  Office:  State  (chronologically)  any  judicial  offices  you  have  held, 
whether  such  position  was  elected  or  appointed,  and  a  description  of  the 
jurisdiction  of  each  such  court. 

I  presently  serve  as  a  United  States  District  Court  Judge  for  the 
District  of  South  Carolina.  1  was  nominated  by  President  Bush,  confirmed 
by  the  United  States  Senate,  and  began  work  in  March  1992.  Civil 
jurisdiction  includes  original  jurisdiction  of  all  civil  actions  arising  under 
the  Constitution,  laws,  or  treaties  of  the  United  States,  and  all  civil 
actions  arising  between  diverse  citizens  where  the  matter  in  controversy 
exceeds  $75,000.  Criminal  jurisdiction  encompasses  all  offenses  against 
the  United  States,  as  specified  by  the  statutes  of  the  United  States. 
Additional  jurisdiction  of  the  district  court  is  set  forth  at  28  U.S.C. 
§  1330  et  seq. 

Prior  to  my  work  as  a  district  court  judge,  I  served  as  a  resident 
state  circuit  judge  for  the  Thirteenth  Judicial  Circuit  in  South  Carolina. 
The  jurisdiction  of  the  circuit  court  includes  both  civil  and  criminal 
jurisdiction  in  South  Carolina.  Criminal  jurisdiction  is  for  all  criminal 
offenses  where  the  penalty  exceeds  30  days  and/or  a  $200  fine.  Civil 
jurisdiction  is  for  all  civil  matters  where  the  amount  in  controversy 
exceeds  $2,500.  The  circuit  court  is  the  highest  trial  court  in  South 
Carolina.  I  was  elected  to  this  position  by  the  General  Assembly  of 
South  Carolina  in  1985  to  fill  the  unexpired  term  of  the  Honorable  Frank 
Eppes  who  retired.  I  was  re-elected  by  the  General  Assembly  in  1 986  for 
a  six-year  term. 

15.  Citations:  If  you  are  or  have  been  a  judge,  provide:  (1)  citations  for  the  ten 
most  significant  opinions  you  have  written;  (2)  a  short  summary  of  and  citations 
for  all  appellate  opinions  where  your  decisions  were  reversed  or  where  your 
judgment  was  affirmed  with  significant  criticism  of  your  substantive  or 
procedural  rulings;  and  (3)  citations  for  significant  opinions  on  federal  or  state 
constitutional  issues,  together  with  the  citation  to  appellate  court  rulings  on 
such  opinions.  If  any  of  the  opinions  listed  were  not  officially  reported,  please 
provide  copies  of  the  opinions 


10 


175 


TEN  MOST  SIGNIFICANT  CASES 

1.  Carriage  Town.  Inc.  v.  LandCo.  inc..  1998  WL  142304  (D.S.C.). 

2.  Phillips  V.  Anderson  County  School  Dist.  Five.  987  F.  Supp.  488  (D.S.C. 
1997). 

3.  Trident  Reoional  Health  Svs.  v.  Polin.  948  F.  Supp.  509  (D.S.C.  1996). 

4.  Laidlaw  Environmental  Servs..  Inc.  v.  Honeywell.  Inc..  966  F.  Supp. 
1401  (D.S.C.  1996). 

5.  Myrtle  Beach  Pipeline  Corp.  v.  Emerson  Elec.  Co..  843  F.  Supp.  1027 
(D.S.C.  1993). 

6.  APAC-Carolina.  Inc.  v.  Towns  of  Allendale  &  Fairfax.  S.C..  868  F.  Supp. 
815  (D.S.C.  1993). 

7.  Citizens  for  Hopkins  Post  Office  v.  United  States  Postal  Service.  830  F. 
Supp.  296  (D.S.C.  1993). 

8.  Hall  V.  Marion  School  District  No.  2.  860  F.  Supp.  278  (D.S.C.  1993). 

9.  Sharoe  v.  Long.  842  F.  Supp.  197  (D.S.C.  1992). 

10.  Tolleson  v.  Educational  Testing  Service.   832  F.  Supp.   158  (D.S.C. 


1992). 


State  Cases 


REVERSALS  OF  DECISIONS 


C.A.N.  Ent.  V.  Health  and  Human  Services.  292  S.C.  556,  357  S.E.2d  714  (Ct. 
App.  1987),  aff'd.  296  S.C.  373,  373  S.E.2d  584  (1988). 

This  case  involved  interpretation  of  a  contract  between  a  nursing  center 
and  the  State  of  South  Carolina  and  concerned  the  question  of  whether 
overpayments  by  the  State  were  timely  disallowed  under  the  terms  of  the 
contract.  I  interpreted  the  contract  to  require  the  nursing  home  to  repay 
the  overpayments.  The  appellate  court  ruled  the  contract  should  be 
interpreted  in  favor  of  the  nursing  home. 

State  V.  Howard.  295  S.C.  462,  369  S.E.2d  132  (1988),  cert,  denied.  490 
U.S.  1113  (1989).  reh'g  denied.  110S.  Ct.  13  (1989). 

This  was  a  joint  murder  trial  of  two  criminal  defendants,  both  of  whom 
had  given  statements  admitting  their  involvement  in  the  murder.  During 
the  trial  each  statement  was  admitted  into  evidence  after  having  been 
redacted  to  exclude  descriptions  of  the  other  defendant's  identity  and 
activities  during  the  commission  of  the  crime.  Both  defendants  were 
convicted  and  sentenced  to  death.  The  appellate  court  affirmed  the 
convictions  of  both  defendants  but  reversed  one  death  sentence  on  the 
grounds  that  redaction  of  that  defendant's  statement  prevented  the  jury 

11 


176 


from  knowing  that  he  had  claimed  that  the  other  defendant  had 
dominated  his  actions,  which  would  have  been  a  mitigating  factor. 

Fireman's  Ins.  Co.  v.  State  Farm  Mut..  295  S.C.  538,  370  S.E.2d  85  (1988). 

This  case  concerned  the  novel  question  in  South  Carolina  of  whether 
uninsured  and  underinsured  insurance  coverage  were  mutually  exclusive 
and  how  such  policies  could  be  "stacked."  It  involved  a  very  unusual  and 
complicated  set  of  facts.  The  appellate  court  affirmed  in  part  and 
reversed  in  part. 

Whitmire  v.  State  Farm  Mutual  Automobile  Ins.  Co.,  88-MO-058  (S.C.  Ct.  App., 
filed  June  17,  1988).    [Copy  attached.] 

The  plaintiff  was  in  an  accident  on  a  highway  caused  by  a  farm  tractor. 
The  issue  was  whether  a  farm  tractor  was  a  "motor  vehicle"  within  the 
terms  of  the  policy  and  the  statutes  of  South  Carolina.  I  ruled  that  it  was 
and  that  the  plaintiff  should  have  been  able  to  recover  her  damages  under 
the  uninsured  motorist  provisions  of  her  insurance  contract.  The 
appellate  court  held  the  term  "motor  vehicle"  excluded  farm  tractors 
under  the  South  Carolina  statute. 

State  V.  Rumsev.  297  S.C.  273,  376  S.E.2d  509  (1988). 

The  defendant  was  convicted  of  uttering  a  $426.00  bad  check.  The 
appellate  court  reversed  her  conviction  and  held  the  issue  of  whether  the 
check  was  given  for  a  pre-existing  debt  should  have  been  submitted  to 
the  jury. 

State  V.  Smith.  300  S.C.  216,  387  S.E.2d  245  (1989). 

This  defendant  was  on  trial  for,  and  was  convicted  of,  murder.  The 
State's  theory  was  that  the  defendant  killed  the  victim  to  cover  up 
another  prior  murder  he  had  committed.  Finding  the  evidence  of  the  first 
murder  to  be  clear  and  convincing  as  to  the  defendant's  involvement,  I 
allowed  the  State  to  produce  evidence  of  the  defendant's  commission  of 
the  first  murder  in  order  to  explain  his  motive  for  the  second  murder. 

The  appellate  court  held  that  the  evidence  of  the  first  murder  was 
not  clear  and  convincing  and  the  evidence  concerning  it  should  not  have 
been  admitted.  (The  defendant  has  since  been  convicted  of  the  first 
murder). 


12 


177 


State  V.  Mvers.  301  S.C.  251,  391  S.E.2d  551  (1990). 

At  trial  I  refused  to  qualify  a  paramedic  as  an  expert  on  blood  spatters. 
The  appellate  court  held  that  she  should  have  been  so  qualified. 

Bates  V.  Citv  of  Columbia.  301  S.C.  320,  391  S.E.2d  733  (1990). 

In  a  false  arrest  case  I  granted  summary  judgment  to  the  City,  finding 
that  there  was  no  issue  as  to  whether  two  law  enforcement  officers  had 
probable  cause.  The  officers  stopped  an  individual  matching  the 
description  of  a  suspect  in  a  fire  bombing  and  arrested  him  for  receiving 
stolen  goods  when  a  check  of  his  bicycle's  identification  number  with 
NCIC  confirmed  that  the  bicycle  had  been  stolen.  The  appellate  court 
determined  there  was  a  jury  issue  as  to  whether  probable  cause  existed. 

Crandall  Corp.  v.  Navistar  Intern..  302  S.C.  265,  395  S.E.2d  179  (1990). 

On  a  summary  judgment  motion  I  held  that  a  cause  of  action  for 
intentional  interference  with  prospective  contractual  relations  did  not 
exist  in  South  Carolina,  just  as  our  state  supreme  court  had  ruled  in  1 978 
and  1983.  When  this  case  came  before  it,  the  supreme  court  reversed 
the  two  prior  cases  and  recognized  this  cause  of  action  for  the  first  time. 

State  V.  Boiden.  303  S.C.  41,  398  S.E.2d  494  (1990). 

The  defendant  was  convicted  of  armed  robbery.  I  permitted  testimony 
about  the  defendant's  smoking  crack  cocaine  during  the  night  before  he 
left  his  room  to  rob  the  motel  in  which  he  was  staying.  The  appellate 
court  held  this  was  irrelevant  and  inadmissible. 

Henderson  v.  St.  Francis  Community  Hosp..  295  S.C.  441,  369  S.E.2d  652 
(Ct.  App.  1988),  rev'd  and  remanded  with  instructions  to  Ct.  App..  303  S.C. 
177,  399  S.E.2d  767  (1990). 

The  plaintiff  slipped  on  a  gum  ball  (seed  pod)  from  a  sweet  gum  tree  in 
a  parking  lot.  The  jury  returned  a  verdict  in  her  favor.  I  granted  JNOV 
to  the  owner  of  the  parking  lot,  holding  that  there  was  no  evidence  of 
negligence  on  the  part  of  the  owner.  The  appellate  court  held  there  was 
sufficient  evidence  to  make  a  jury  issue  and  the  verdict  was  reinstated. 


13 


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Anderson  County  v.  Indiana  Lumbermens  Mut..  304  S.C.  363,  404  S.E.2d  718 
(Ct.  App.  1991). 

A  criminal  defendant  junnped  bond.  A  bond  forfeiture  hearing  was  held 
in  which  the  bonding  company  appeared.  An  amount  of  money  was 
ordered  forfeited  by  another  judge.  The  bonding  company  went  out  of 
business  and  the  County  sought  to  enforce  the  forfeiture  against  the 
surety  for  the  bonding  company.  I  held  that  no  notice  was  required  to  be 
given  to  the  surety  during  the  original  bond  forfeiture  proceeding.  The 
appellate  court  held  that  notice  was  required. 

UNICO  Development  Services.  Inc.  v.  Oconee  Geriatric.  Inc.,  305  S.C.  504, 
409  S.E.2d  425  (Ct.  App.  1991). 

This  case  involved  the  sale  of  a  nursing  home.  An  agent  hired  by  the 
seller  sued  for  his  commission.  The  seller  refused  to  pay,  one  of  the 
grounds  for  refusal  being  that  the  agent  had  also  arranged  to  collect  a  fee 
from  the  buyer.  I  ruled  the  agent  had  breached  his  fiduciary  duty  to  the 
seller  when  he  accepted  a  finder's  fee  from  the  buyer  and  that  this 
precluded  his  recovery  from  the  seller. 

The  appellate  court  held  this  case  fell  within  an  exception  to  the 
general  rule  that  a  broker  cannot  act  as  agent  for  both  vendor  and  vendee 
in  the  sale  of  property  without  notice  to  each  side.  Accordingly,  the 
appellate  court  ruled  the  agent  could  collect  the  commission. 

Ellis  v.  Oliver.  307  S.C.  365,  415  S.E.2d  400  (1992). 

The  plaintiff  brought  separate  lawsuits  against  three  different  doctors 
alleging  that  their  medical  malpractice  had  caused  his  quadriplegia.  Two 
of  the  doctors  lived  in  Richland  County  and  one  doctor.  Dr.  Oliver,  lived 
in  Lexington  County.  I  ordered  the  cases  consolidated  so  that  all  of  the 
issues  could  be  tried  at  one  time  in  Richland  County.  The  Supreme  Court 
held  Dr.  Oliver  was  entitled  to  have  the  venue  of  his  case  transferred  to 
Lexington  County. 

State  V.  Henrv.  313  S.C.  106,  432  S.E.2d  489  (Ct.  App.  1994). 

In  a  pretrial  ruling  I  denied  the  State's  motion  to  admit  the  testimony  of 
two  stepdaughters  in  the  trial  of  a  stepfather  accused  of  molesting  a  third 
stepdaughter.  After  considering  the  question  to  be  a  very  close  one,  I 
ruled  that  there  were  not  sufficient  common  elements  between  the 
actions  the  stepfather  allegedly  took  with  the  two  stepdaughters  and  the 

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actions  he  took  with  the  alleged  victim.  Even  though  I  felt  the  State's 
case  to  be  a  strong  one  without  the  testimony  of  the  two  stepdaughters, 
I  continued  the  case  to  give  the  State  time  to  appeal  my  ruling.  The 
South  Carolina  Court  of  Appeals  ruled  that  the  testimony  of  one 
stepdaughter  was  admissible  and  that  one  was  not. 

Federal  Cases 

Thomas  v.  Peacock.  516  U.S.  349  (1996). 

A  company  operating  in  South  Carolina,  Tru-Tech,  Inc.,  went  out  of 
business  and  after  a  lawsuit  the  court  in  South  Carolina  determined  that 
Tru-Tech  owed  its  former  employees  a  substantial  sum  of  money  for 
benefits  due  under  ERISA.  Later  efforts  by  the  employees  to  collect  the 
judgment  from  Tru-Tech  proved  fruitless  as  there  was  no  money  left  in 
the  corporation  when  collection  was  attempted. 

The  employees  then  sued  Peacock,  an  officer  and  shareholder  of 
Tru-Tech,  in  South  Carolina,  alleging  that  the  corporate  veil  of  Tru-Tech 
should  be  pierced  and  Peacock  held  liable  personally.  Peacock  was  a 
resident  of  Pennsylvania.  After  a  trial,  I  determined  that  Peacock  had 
improperly  withdrawn  money  from  the  corporation,  that  the  corporate  veil 
should  be  pierced,  and  that  he  was  indeed  liable  to  the  former  employees 
for  the  benefits  they  had  lost.  In  so  ruling,  I  held  that  the  District  Court 
in  South  Carolina  had  subject  matter  jurisdiction. 

The  Fourth  Circuit  Court  of  Appeals  affirmed  the  case  on  the 
merits,  ruling  that  subject  matter  jurisdiction  did  exist  because  the  action 
to  pierce  the  corporate  veil  of  a  corporation  owing  a  judgment  should  be 
deemed  within  the  ancillary  jurisdiction  of  a  court  seeking  to  enforce  its 
judgment. 

The  United  States  Supreme  Court  reversed,  holding  that  there  was 
no  subject  matter  jurisdiction  in  the  district  court.  The  Court  determined 
that  ERISA  provided  no  basis  for  subject  matter  jurisdiction  and  that  there 
was  no  authority  to  exercise  ancillary  jurisdiction. 

Gillespie  V.  Landers.  40  F.3d  1 243,  1  994  WL  65271  5  {4th  Cir.  1 994). 

The  defendant  was  found  liable  as  a  "controlling  person"  of  a  corporation 
under  the  South  Carolina  Unfair  Trade  Practices  Act  for  damages  suffered 
by  a  plaintiff  in  the  purchase  of  an  automobile  from  the  defendant's 


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dealership.  Attorney's  fees  were  assessed  against  the  defendant  and  his 
son  who  was  the  primary  wrongdoer. 

The  defendant  did  not  appeal  his  liability  for  the  actual  damages, 
but  he  did  appeal  his  responsibility  for  the  plaintiff's  attorney's  fees. 
After  the  trial  of  the  case  and  while  the  case  was  on  appeal  to  the  Fourth 
Circuit,  the  South  Carolina  Supreme  Court  handed  down  a  decision 
excluding  "controlling  persons"  from  liability  under  the  Unfair  Trade 
Practices  Act.  As  a  consequence,  the  Fourth  Circuit  ruled  that  the 
assessment  of  the  attorney's  fees  should  be  eliminated. 

Carter  v.  Medlock.  43  F.3d  1465,  1994  WL  687287  (4th  Cir.  1994). 

Carter,  a  defendant,  had  been  tried  previously  in  state  court  in  South 
Carolina  pursuant  to  what  was  described  by  the  Fourth  Circuit  as  an 
indictment  "framed  in  a  very  odd  fashion."  He  was  convicted  on  only 
one  count.  When  the  State  sought  to  try  the  defendant  under  a 
subsequent  indictment,  Carter  sought  habeas  corpus  relief,  alleging 
double  jeopardy.  I  construed  the  second  indictment  not  to  encompass 
the  charges  for  which  a  verdict  had  been  returned  in  the  first  case.  The 
Fourth  Circuit  determined  otherwise. 

United  States  v.  Penderarass.  47  F.3d  1 1  66,  1  995  WL  56673  (4th  Cir.  1 995). 

Multiple  defendants  were  tried  together  on  an  assortment  of  drug 
charges.  Four  appealed  their  convictions.  One  of  the  defendants 
obtained  a  reversal  of  one  of  his  convictions  because  the  Fourth  Circuit 
determined  that  some  of  the  information  on  the  Western  Union  "send" 
documents  contained  inadmissible  hearsay  and  was  erroneously  admitted 
into  evidence. 

Wright  v.  Oliver.  99  F.3d  1 1  33,  1  996  WL  531  299  (4th  Cir.  1  996). 

Remand  of  a  prisoner's  lawsuit  was  required  because  of  a  decision  by  the 
Fourth  Circuit  regarding  accrual  of  a  prisoner's  claim  which  was  handed 
down  after  my  decision  in  district  court. 

Aiken  v.  Policy  Management  Systems  Corp..  13  F.3d  138  (4th  Cir.  1993). 

In  a  suit  brought  by  an  employee  for  retirement  benefits  under  his 
company's  benefit  plan,  I  ruled  that  where  there  was  a  conflict  between 
the  terms  of  the  plan  and  the  summary  plan  description  (SPD)  the  plan 
terms  would  control.    The  Fourth  Circuit  ruled,  based  upon  the  case  of 

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Pierce  v.  Security  Trust  Life  Ins.  Co..  979  F.2d  23  {4th  Cir.  1992),  that 
the  SPD  controlled.  I  had  been  aware  of  this  case,  but  at  the  time  I  ruled 
it  was  only  an  unpublished  decision  and  hence  of  no  precedential  value. 
The  Fourth  Circuit  panel  changed  Pierce  to  a  published  decision  after  I 
had  finalized  my  order. 

Wilkes  V.  Young.  28  F.3d  1362  (4th  Cir.  1994). 

Mrs.  Wilkes'  daughter  used  the  family  car  to  go  to  a  county  agency  to 
apply  for  benefits.  While  there,  the  daughter  parked  the  car  in  an  area 
where  parking  was  prohibited  and  received  a  summons  for  the  violation 
with  a  directive  to  report  to  the  magistrate  on  a  particular  date.  The 
daughter  did  not  appear  and  the  county  agency  worker  responsible  for 
parking  violations  had  issued  by  a  magistrate  an  arrest  warrant  for  the 
mother  who,  with  no  prior  record,  was  arrested  on  her  job  and  taken  to 
jail  for  failure  to  appear  in  court.  Several  months  later  another  magistrate 
dismissed  the  charges. 

Mrs.  Wilkes  sued  the  county  and  in  a  trial  before  me  a  jury 
awarded  her  damages.  I  denied  all  post-trial  motions,  ruling  in  effect  that 
she  had  produced  sufficient  evidence  to  substantiate  her  claim  and  justify 
the  award  of  damages.  The  Fourth  Circuit  reversed,  holding  that 
falsehoods  in  the  affidavit  for  the  arrest  warrant  were  not  necessary  to 
establish  probable  cause  and  that  there  had  been  no  constitutional 
violation. 

E.J.  Sebastian  Associates  v.  Resolution  Trust  Corp..  43  F.3d  106  {4th  Cir. 
1994). 

Sebastian  sued  for  money  allegedly  due  for  services  rendered  to  a  bank 
before  it  was  taken  over  by  the  Resolution  Trust  Corporation.  I  held  the 
action  was  barred  by  the  D'Oench  doctrine  and  12  U.S.C.A.  §  1823{e). 
The  Fourth  Circuit  held  that  further  development  of  the  facts  was  needed 
and  that  summary  judgment  was  inappropriate. 

Steinke  v.  Beach  Bunqee.  105  F.3d  192  {4th  Cir.  1997). 

A  teenager  was  killed  when  a  cage  he  was  riding  in  to  the  top  of  a 
bungee  jump  arch  broke  loose  and  plummeted  to  the  ground.  The  jury 
awarded  his  parents  twelve  million  dollars  in  actual  damages.  The  Fourth 
Circuit  remanded  the  case  for  me  to  reconsider  the  amount  of  damages 
in  light  of  the  recent  Supreme  Court  case,  Gasperini  v.  Center  for 


17 


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Humanities.  135  L.Edj.2d  659  (1996),  which  was  handed  down  after  my 
decision  in  the  case. 

Schlumberaer  Industries.  Inc|.  v.  National  Surety  Corp..  36  F.3d  1274  (4th  Cir. 
1994). 

This  case  shows  a  reWrsal  with  my  name  as  the  presiding  judge.  The 
error,  however,  was  attributed  to  another  district  judge  who  had  the  case 
before  me. 


SIGNIFICANT  OPINIONS  ON  STATE  OR  FEDERAL 
CONSTITUTIONAL  ISSUES 

1.  Deal  V.  Moore.  No.  97-1676  (D.S.C.  Mar.  27,  1998). 

2.  Greenville  Women's  Clinic  v.  Brvant.  No.   96-1898  (D.S.C.  July   19, 
1996). 

3.  Phillips  V.  Anderson  County  School  District  Five.  987  F.  Supp.  488 
(D.S.C.  1997). 

4.  Hall  V.  Marion  School  District  No.  2.  860  F.  Supp.  278  (D.S.C.  1993), 
aff'd.  31  F.3d  183  (4th  Cir.  1994). 

5.  Hoffman  v.  Powell.  No.  87-CP-04-927  (Anderson  County,  SC,  Court  of 
Common  Pleas,  June  22,  1988),  aff'd.  380  S.E.2d  821  (S.C.  1989). 


Copies  of  all  unpublished  opinions  are  found  at  Attachment  D. 

16.  Public  Office:  State  (chronologically)  any  public  offices  you  have  held,  other 
than  judicial  offices,  including  the  terms  of  service  and  whether  such  positions 
were  elected  or  appointed.  State  (chronologically)  any  unsuccessful  candidacies 
for  elective  public  office. 

Appointed   Solicitor  for  the  Thirteenth   Judicial   Circuit   by  Governor 
Richard  W.  Riley  in  1981  and  served  until  I  was  elected  Solicitor  in  1982. 

Elected  Solicitor  by  the  voters  in  the  Thirteenth  Judicial  Circuit  in  1 982 
and  served  until  I  became  a  state  circuit  judge  in  1 985. 

17.  Legal  Career: 

a.         Describe    chronologically    your    law    practice    and    experience    after 
graduation  from  law  school  including: 

18 


183 


Whether  you  served  as  clerk  to  a  judge,  and  if  so,  the  name  of  the 
judge,  the  court,  and  the  dates  of  the  period  you  were  a  clerk; 

Not  applicable. 

Whether  you  practiced  alone,  and  if  so,  the  addresses  and  dates; 

Not  applicable. 

The  dates,  names,  and  addresses  of  law  firms  or  offices, 
companies,  or  governmental  agencies  with  which  you  have  been 
connected,  and  the  nature  of  your  connection  with  each; 


1 973-74         Attorney 


1 975-78         Assistant 
Solicitor 


1978-81  Deputy 

Solicitor 


1981-85         Solicitor 


1985-92 

Resident 

Judge 

1992  to 

U.S.  District 

present 

Judge 

William  Byrd  Traxler,  Sr. 
606  East  North  Street 
Greenville,  SC   29601 

Office  of  the  Solicitor 
Greenville  County  Courthouse 
Greenville,  SC   29601 

Office  of  the  Solicitor 
Greenville  County  Courthouse 
Greenville,  SC   29601 

Office  of  the  Solicitor 
Greenville  County  Courthouse 
Greenville,  Sc   29601 

Greenville  County  Courthouse 
Suite  322 
Greenville,  SC   29601 

300  East  Washington  Street 
Greenville,  SC    29601 


What  has  been  the  general  character  of  your  law  practice,  dividing 
it  into  periods  with  dates  if  its  character  has  changed  over  the 
years? 

1 973-74  General  practice  of  law  including  criminal  defense, 
preparation  of  wills,  domestic  relations,  and  plaintiffs' 
tort  claims. 


19 


184 


1975-85  Prosecution  of  criminal  cases.  As  a  prosecuting 
attorney,  I  tried  almost  every  kind  of  criminal  case 
including  capital  murder,  rape,  armed  robbery,  assault 
and  battery  with  intent  to  kill,  child  abuse,  and  a 
wide  variety  of  theft  offenses. 

2.  Describe  your  typical  former  clients,  and  mention  the  areas,  if  any, 
in  which  you  have  specialized. 

In  private  practice,  my  typical  clients  were  those  who  were 
referred  by  other  attorneys,  those  who  were  sent  by  the  Greenville 
County  Bar  Referral  Service,  and  those  who  were  already  clients 
of  the  firm.  They  were,  for  the  most  part,  members  of  the  general 
working  public. 

In  my  work  as  a  prosecutor,  my  client  was  the  State  of 
South  Carolina.  The  bulk  of  my  experience  as  a  lawyer  was  in  the 
area  of  criminal  prosecution. 

1 .  Did  you  appear  in  court  frequently,  occasionally,  or  not  at  all?  If 
the  frequency  of  your  appearances  in  court  varied,  describe  each 
such  variance,  giving  dates. 

In  my  private  practice,  I  appeared  in  municipal  court  once  in  1 973 
and  in  civil  court  once.  As  a  prosecutor,  I  was  in  court  for  some 
purpose  virtually  every  term  of  court  for  ten  years. 

2.  What  percentage  of  these  appearances  was  in: 


1973-74 

(1) 

Federal  courts 

0% 

(2) 

State  courts  of  record 

100% 

(3) 

Other  courts 

0% 

1975-85 

(1) 

Federal  courts 

1% 

(2) 

State  courts  of  record 

99% 

(3) 

Other  courts 

0% 

3.         What  percentage  of  your  litigation  was: 

1973-74        (1)       Civil  99% 

(2)        Criminal  1  % 


20 


185 


1975-85        (1)       Civil  1% 

(2)       Criminal  99% 

4.  State  the  number  of  cases  in  courts  of  record  you  tried  to  verdict 
or  judgment  (rather  than  settled),  indicating  whether  you  were  sole 
counsel,  chief  counsel,  or  associate  counsel. 

When  I  was  the  Solicitor,  I  tried  approximately  60  cases  as  the 
chief  counsel  handling  the  examinations  of  all  witnesses  and 
presenting  all  arguments.  In  most  of  these  cases,  I  had  an 
assistant  taking  notes  and  arranging  for  the  presence  of  our 
witnesses.  As  associate  counsel,  I  participated  in  approximately 
45  cases  where  I  was  involved  in  trial  preparation  and  in 
facilitating  the  handling  of  physical  evidence  and  the  presence  of 
witnesses. 

5.  What  percentage  of  these  trials  was: 

(a)  Jury  99% 

(b)  Non-jury  1  % 

18.  Litigation:  Describe  the  ten  most  significant  litigated  matters  which  you 
personally  handled.  Give  the  citations,  if  the  cases  were  reported,  and  the 
docket  number  and  date  if  unreported.  Give  a  capsule  summary  of  the 
substance  of  each  case.  Identify  the  party  or  parties  whom  you  represented; 
describe  in  detail  the  nature  of  your  participation  in  the  litigation  and  the  final 
disposition  of  the  case.   Also  state  as  to  each  case: 

(a)  The  date  of  representation; 

(b)  The  name  of  the  court  and  the  name  of  the  judge  or  judges  before 
whom  the  case  was  litigated;  and 

(c)  The  individual  names,  addresses,  and  telephone  numbers  of  co- 
counsel  and  of  principal  counsel  for  each  of  the  other  parties. 

In  each  of  the  following  cases,  I  was  the  Solicitor  for  the  Thirteenth 
Judicial  Circuit,  and  my  participation  was  as  chief  counsel  responsible  for  all 
questioning  of  witnesses  and  all  arguments  to  the  jury.  I  generally  would  have 
either  an  assistant  solicitor  with  me  or  an  investigator.  There  is  no  record  of 
who  they  were,  and  I  have  no  independent  recollection  of  which  person  helped 
me  on  the  individual  cases.  Their  job  was  to  assist  in  trial  preparation,  to  help 
me  with  the  physical  evidence,  and  to  offer  suggestions  as  the  case  progressed. 


21 


53-754  99  -  7 


186 


(1)       State  V.  Louise  C.  Whitted.  279  S.C.  269,  305  S.E.2d  245  (1983). 


This  defendant  was  tried  for  aiding,  abetting,  and  promoting  the  murder 
of  her  husband  by  her  daughter's  16-year-old  boyfriend.  I  worked  closely  with 
law  enforcement  in  solving  the  crime  and  in  bringing  this  former  beauty  queen 
to  justice.  A  key  to  our  successful  prosecution  was  our  ability  to  procure  the 
evidence  necessary  to  rebut  the  defendant's  version  of  events  the  night  of  the 
murder.  This  was  one  of  the  most  publicized  trials  in  our  area  in  years.  The 
defendant  was  found  guilty  of  murder. 


Representation  date: 
Court: 


February  15,  1982  (Trial  of  Approx.  7  days) 

Court  of  General  Sessions 

Greenville  County 

The  Honorable  Paul  M.  Moore  (deceased) 

Presiding  Judge 


Defense  attorneys: 


Jerry  L.  Taylor  (deceased) 


Stephen  J.  Henry 
406  Pettigru  Street 
Greenville,  SC   29601 
(864)  232-9700 


(2)        State  V.  John  David  Teter.  83-GS-23-753  (March  9,  1983). 

This  defendant  was  a  drunk  driver  with  a  lengthy  prior  record  for  driving 
offenses  in  general  and  for  driving  under  the  influence  in  particular.  He  was 
indicted  for  murder  and/or  reckless  homicide  for  causing  the  death  on  New 
Year's  Eve  of  a  college  student  when  the  defendant  collided  with  the  rear  of  the 
student's  car  as  the  student  was  stopped  at  a  red  light.  This  case  was  unusual 
because  it  involved  the  charge  of  murder  against  a  drunk  driver,  the  theory 
being  that  the  defendant's  recklessness  was  so  extreme  as  to  be  tantamount 
to  intent.   He  was  found  guilty  of  reckless  homicide. 

Representation  date:  March  7,  1983  (Three-day  trial) 


Court: 


Court  of  General  Sessions 
Greenville  County 
The  Honorable  C.  Victor  Pyle,  Jr. 
Presiding  Judge 


22 


187 


Defense  attorneys: 


B.  O.  Thomason,  Jr.  (deceased) 
William  A.  Coates 
P.O.  Box  10045 
Greenville,  SC   29603 
(864)  242-6360 


Horace  C.  Smith 
P.O.  Box  1144 
Spartanburg,  SC   29304 
(864)  582-4569 

(3)       State  V.  Larrv  Ford  Allen.  277  S.C.  595,  291  S.E.2d  459  (1982); 
State  V.  Walter  Childers.  Jr..  82-GS-23-2130,  31  (July  31,  1982). 

These  defendants  were  charged  with  murder.  Preparation  of  the  case 
involved  my  petition  to  the  court  to  compel  the  extraction  of  bullets  from  the 
body  of  one  of  the  defendants  for  comparison  with  the  gun  of  the  deceased. 
This  issue  was  ultimately  resolved  in  the  Supreme  Court  of  South  Carolina. 
Childers  was  found  guilty  of  attempted  armed  robbery  and  conspiracy.  He  was 
acquitted  of  murder  and  assault  and  battery  with  intent  to  kill.  Allen  was  found 
guilty  of  all  charges. 


Representation  date: 


July  26,  1 982 


Court: 


Court  of  General  Sessions 
Greenville  County 
The  Honorable  Frank  Eppes 
Presiding  Judge 


Defense  attorneys 
for  Allen: 


H.  F.  Partee 
601  McBee  Avenue 
Greenville,  SC   29601 
(864)  242-6800 


Douglas  F.  Patrick 
P.O.  Box  2343 
Greenville,  SC   29602 
(864)  242-9000 


Defense  attorneys 
for  Childers: 


Howard  W.  Paschal,  Jr. 
P.O.  Box  10345 
Greenville,  SC   29603 
(864)  232-5832 


23 


188 


James  R.  Mann 
102  West  Stone  Avenue 
Greenville,  SC   29609 
(864)  271-2992 


(4)       State  V.  Clifton  Joe  Campbell.  287  S.C.  377,  339  S.E.2d  109  (1985). 

The  defendant  was  tried  for  murder  for  having  poured  gasoline  upon  a 
man  he  suspected  of  having  been  his  wife's  lover  and  setting  him  on  fire.  The 
victim  lived  for  several  months  in  a  burn  center  before  he  died.  A  key  issue  was 
the  admissibility  of  a  dying  declaration.  The  defendant  was  found  guilty  and 
sentenced  to  life  imprisonment. 

Representation  date:  March  12,  1984  (Trial  of  approx.  7  days) 

Court:  Court  of  General  Sessions 

Pickens  County 

The  Honorable  C.  Victor  Pyle,  Jr. 
Presiding  Judge 

Defense  attorneys:  B.  0.  Thomason,  Jr.  (deceased) 

William  A.  Coates 
P.O.  Box  10045 
Greenville,  SC    29603 
(864)  242-6360 


(5)       State  V.  Curtis  Lee  Hvder.  84-GS-39-196  (May  16,  1984). 

This  murder  case  involved  the  disappearance  of  a  teenage  girl  and  the 
subsequent  discovery  of  her  body  in  a  nearby  river.  This  case  involved 
extensive  preparation  and  detailed  legal  analysis  of  the  admissibility  of  a 
confession.  The  defendant  contended  that  he  had  accidentally  killed  the  victim 
while  trying  to  keep  her  from  screaming.  His  statement  was  virtually  the  only 
evidence  against  the  defendant  available  to  the  State.  The  defendant  was 
found  guilty  of  murder. 

Representation  date:  May  15,  1984  (Two-day  trial) 

Court:  Court  of  General  Sessions 

Pickens  County 


24 


189 


Defense  attorney: 


The  Honorable  Francis  B.  Nicholson  (deceased) 
Presiding  Judge 

John  T.  Gentry  (deceased) 


(6)       State  V.  Aubrey  Lee  Grizzle.  81-GS-23-3012,  13  (September  23,  1981). 

This  defendant  was  tried  for  the  murder  of  the  civil  defense  director  and 
the  manager  of  the  service  department  of  an  automobile  dealer  on  the  same 
day.  He  had  a  history  of  mental  problems,  and  his  defense  was  insanity.  The 
defendant  was  found  guilty  of  murder. 


Representation  date: 
Court: 


Defense  attorney: 


September  21,  1981  (Three-day  trial) 

Court  of  General  Sessions 
Greenville  County 
The  Honorable  C.  Victor  Pyle,  Jr. 
Presiding  Judge 

H.  F.  Partee 
601  McBee  Avenue 
Greenville,  SC   29601 
(864)  242-6800 


(7)       State  V.  Jewel  Loraine  Garrett.  82-GS-23-54  (January  14,  1982). 

This  defendant  was  a  young  girl  who  stabbed  her  high  school  teacher  to 
death  during  school.  She  also  had  a  history  of  mental  problems.  Like  the 
Grizzle  case,  there  was  a  great  deal  of  expert  testimony  presented  involving  the 
mental  abilities  of  the  defendant.  Her  defense  of  insanity  was  rejected  by  the 
jury,  and  she  was  found  guilty  of  murder.  This  case  and  the  Grizzle  case  above 
precipitated  the  passage  of  the  guilty  but  mentally  ill  verdict  option  by  the  South 
Carolina  Legislature. 


Representation  date: 
Court: 


January  11,1 982  (Three-day  trial) 

Court  of  General  Sessions 
Greenville  County 

The  Honorable  Ernest  A.  Finney,  Jr. 
Presiding  Judge 


25 


190 


Defense  attorney: 


H.  F.  Partee 
601  McBee  Avenue 
Greenville,  SC   29601 
(864)  242-6800 


(8)       State  V.  Donna  Una  Kuter.  83-GS-23-1 1 64  (April  28,  1 983). 

State  V.  James  Kevin  McCov.  285  S.C.  1 1 5,  328  S.E.2d  620  (1 985). 

Ms.  Kuter,  age  1 7,  and  her  boyfriend,  who  was  1 6,  murdered  her  father 
with  axes  and  knives  as  he  lay  sleeping  in  the  apartment  he  shared  with  his 
daughter.  A  primary  issue  involved  the  trial  of  a  juvenile  as  an  adult.  The 
juvenile  resisted  the  transfer  of  his  case  to  adult  court,  which  necessitated 
litigation  in  juvenile  court  to  accomplish  the  transfer.  This  transfer  was 
accomplished  and  both  were  found  guilty  of  murder. 


Representation  date: 
Court: 


Defense  attorneys 
for  Kuter: 


May  25,  1983  (Three-day  trial) 

Court  of  General  Sessions 
Greenville  County 
The  Honorable  Frank  Eppes 
Presiding  Judge 

Larry  H.  Cooke 
P.O.  Box  10032 
Greenville,  SC    29603 
(864)  232-8175 


Timothy  L.  Brown 
1 1  Whitsett  Street 
Greenville,  SC   29601 
(864)  233-1657 


Defense  attorneys 
for  McCoy: 


Stephen  J.  Henry 
406  Pettigru  Street 
Greenville,  SC   29601 
(864)  232-9700 


Jerry  L.  Taylor  (deceased) 


26 


mi 


(9)       State  V.  Robert  Lee  Hunt.  84-GS-23-90,  92,  93  (February  6,  1984); 

State  V.  Leroy  Sloan  Terry.  84-GS-23-90,  91,  92,  93  (February  6,  1984). 

These  two  defendants  were  tried  for  murder,  assault  and  battery  with 
intent  to  kill,  armed  robbery,  and  attempted  armed  robbery  for  fatal  events 
which  occurred  at  a  local  civic  club.  Of  legal  interest  in  this  case  was  the 
admissibility  of  res  gestae  statements  made  by  one  of  the  victims  as  he  called 
91 1  to  report  the  crime.  Hunt  was  found  guilty  on  all  counts  except  assault 
and  battery  with  intent  to  kill.   Terry  was  found  guilty  on  all  counts. 


Representation  date: 
Court: 


Defense  attorneys 
for  Hunt: 


January  30,  1984  (Trial  of  approx.  7  days) 

Court  of  General  Sessions 
Greenville  County 
The  Honorable  Frank  Eppes 
Presiding  Judge 

Merl  F.  Code 

William  J.  Weston 

1 300-D  East  Washington  Street 

Greenville,  SC   29607 

(864)  271-4975 


Defense  attorneys 
for  Terry: 


William  A.  Coates 
P.O.  Box  10045 
Greenville,  SC   29603 
(864)  242-6360 


Jerry  L.  Taylor  (deceased) 

(10)     State  V.  George  "Shine"  Thomas.  80-GS-23-1617  (June  18,  1980). 

This  defendant  was  tried  for  receiving  stolen  goods  for  purchasing 
shoplifted  food  items  from  drug  addicts  to  use  to  stock  his  grocery  store.  The 
state's  evidence  involved  the  use  of  informants  and  body  microphones.  The 
defendant  was  found  guilty. 


Representation  date: 
Court: 


June  18,  1980  (One-day  trial) 

Court  of  General  Sessions 

Greenville  county 

The  Honorable  James  H.  Price,  Jr.  (deceased) 

Presiding  Judge 


27 


192 


Defense  attorneys: 


B.  0.  Thomason  (deceased) 
William  A.  Coates 
P.O.  Box  10045 
Greenville,  SC   29603 
(864)  242-6360 


Since  the  cases  I  have  listed  are  more  than  ten  years  old,  I  have  listed  ten 

attorneys  with  whom  I  have  had  recent  contact. 


Mr.  Wm.  Reynolds  Williams 
P.O.  Box  1909 
Florence,  SC    29503 
(843)  662-3258 

Mr.  John  A.  Hagins,  Jr. 
P.O.  Box  2343 
Greenville,  SC    29602 
(864)  242-9000 

Mr.  Douglas  F.  Patrick 
P.O.  Box  2343 
Greenville,  SC    29602 
(864)  242-9000 

Mr.  William  C.  Lucius,  AUSA 
105  N.  Spring  Street 
Greenville,  SC    29601 
(864)  282-2100 

Judge  William  W.  Wilkins,  Jr. 
P.O.  Box  10857 
Greenville,  SC   29603 
(864)  233-7081 


Mr.  David  C.  Stephens,  AUSA 
1 05  North  Spring  Street 
Greenville,  SC   29601 
(864)  282-2100 

Mr.  Russell  D.  Ghent 
P.O.  Box  87 
Greenville,  SC    29602 
(864)  242-6440 

Mr.  John  I.  Mauldin 
P.O.  Box  10264 
Greenville,  SC    29603 
(864)  467-8522 

Mr.  Benjamin  T.  Stepp,  AFPD 
501  McBee  Street,  Suite  202 
Greenville,  SC   29601 
(864)  235-8714 

Judge  Karen  J.  Williams 
1021  Middleton  Street 
Orangeburg,  SC    29116 
(864)  533-0711 


1 9.  Legal  Activities:  Describe  the  most  significant  legal  activities  you  have  pursued, 
including  significant  litigation  which  did  not  progress  to  trial  or  legal  matters  that 
did  not  involve  litigation.  Describe  the  nature  of  your  participation  in  this 
question,  but  please  omit  any  information  protected  by  the  attorney-client 
privilege  (unless  the  privilege  has  been  waived). 

As  Solicitor  I,  along  with  several  state  representatives  in  my  area, 
proposed  legislation  to  add  as  a  possible  verdict  for  juries  in  criminal 
cases  the  verdict  of  "guilty  but  mentally  ill."  This  legislation  was  adopted 
by  the  South  Carolina  General  Assembly. 


28 


193 


As  a  state  circuit  court  judge,  I  served  on  the  South  Carolina 
Sentencing  Guidelines  Commission.  As  chairman  of  the  Grid 
Subcommittee,  I  played  a  major  role  in  the  development  of  the  sentencing 
grid  which  was  later  adopted  unanimously  by  the  full  commission. 

Also  during  the  time  I  was  a  state  circuit  judge,  I  worked  on  the 
concept  of  assessing  mandatory  fines  in  terms  of  daily  available  income 
units  rather  than  specific  minimum  fine  amounts  in  order  to  provide  a 
fairer  method  of  imposing  fines. 

For  the  past  15  years,  I  have  been  a  frequent  lecturer  at 
Continuing  Legal  Education  seminars  sponsored  by  the  South  Carolina  Bar 
Association. 


29 


194 


II.   Financial  Data  and  Conflict  of  Interest  (Public) 


1 .  List  sources,  amounts,  and  dates  of  all  anticipated  receipts  from  deferred 
income  arrangements,  stock  options,  uncompleted  contracts,  and  other  future 
benefits  which  you  expect  to  derive  from  previous  business  relationships, 
professional  services,  firm  memberships,  former  employers,  clients,  or 
customers.  Please  describe  the  arrangements  you  have  made  to  be 
compensated  in  the  future  for  any  financial  or  business  interest. 

At  age  55,  I  will  be  eligible  for  a  lifetime  monthly  retirement  benefit  of 
approximately  18/24  of  71 .3%  of  the  salary  of  a  Circuit  Judge  of  South 
Carolina  through  the  State  of  South  Carolina  Retirement  Plan  for  Judges. 


2.  Explain  how  you  will  resolve  any  potential  conflict  of  interest,  including  the 
procedure  you  will  follow  in  determining  these  areas  of  concern.  Identify  the 
categories  of  litigation  and  financial  arrangements  that  are  likely  to  present 
potential  conflicts  of  interest  during  your  initial  service  in  the  position  to  which 
you  have  been  nominated. 

The  only  possible  potential  conflict  of  interest  will  involve  ownership  of 
stock  in  publicly  held  corporations.  I  will  maintain  a  current  list  of  all 
assets  that  will  be  matched  against  any  party  appearing  before  me.  Any 
conflict  which  does  arise  will  be  resolved  pursuant  to  the  Code  of  Judicial 
Conduct. 


3.  Do  you  have  any  plans,  commitments,  or  agreements  to  pursue  outside 
employment,  with  or  without  compensation,  during  your  service  with  the  court? 
If  so,  explain. 

No. 


List  sources  and  amounts  of  all  income  received  during  the  calendar  year 
preceding  your  nomination  and  for  the  current  calendar  year,  including  all 
salaries,  fees,  dividends,  interest,  gifts,  rents,  royalties,  patents,  honoraria,  and 
other  items  exceeding  $500.  (If  you  prefer  to  do  so,  copies  of  the  financial 
disclosure  report,  required  by  the  Ethics  in  Government  Act  of  1 978,  may  be 
substituted  here.) 

See  Attachment  E. 

30 


195 


Please  complete  the  attached  financial  net  worth  statement  in  detail.    (Add 
schedules  as  called  for.) 

See  Attachment  F. 


Have  you  ever  held  a  position  or  played  a  role  in  a  political  campaign?  If  so, 
please  identify  the  particulars  of  the  campaign,  including  the  candidate,  dates 
of  the  campaign,  your  title  and  responsibilities. 

I  have  been  a  campaign  worker  involved  in  distributing  printed  material, 
putting  up  yard  signs  in  the  following  campaigns,  and  making  phone 
calls: 


Year 

Candidate 

Camoaian 

1961 

David  G.  Traxler,  Sr. 

Mayor  of  Greenville,  SC 

1965 

David  G.  Traxler,  Sr. 

Mayor  of  Greenville,  SC 

1970 

John  C.  West 

Governor  of  South  Carolina 

1972 

Strom  Thurmond 

United  States  Senate 

1974 

William  W.  Wilkins,  Jr. 

Solicitor,  1 3th  Judicial  Circuit 

1978 

Richard  W.  Riley 

Governor  of  South  Carolina 

1980 

David  H.  Wilkins 

S.C.  House  of  Representatives 

1980 

Ernest  F.  Hollings 

United  States  Senate 

1982 

J.  Verne  Smith 

South  Carolina  Senate 

31 


196 


III.   General  (Public) 


An  ethical  consideration  under  Canon  2  of  the  American  Bar  Association's  Code 
of  Professional  Responsibility  calls  for  "every  lawyer,  regardless  of  professional 
prominence  or  professional  workload,  to  find  some  time  to  participate  in  serving 
the  disadvantaged."  Describe  what  you  have  done  to  fulfill  these 
responsibilities,  listing  specific  instances  and  the  amount  of  time  devoted  to 
each. 

a.  My  professional  life  has  been  almost  exclusively  as  a  prosecutor  and 
judge.  During  the  year  and  a  half  that  I  was  in  private  practice  following 
law  school,  I  had  many  clients  whom  I  represented  at  no  charge.  As  a 
prosecutor,  I  spent  a  great  deal  of  time  encouraging  a  local  program 
designed  to  help  alcoholics  who  had  become  involved  in  the  criminal 
justice  system.  These  defendants  generally  entered  the  criminal  justice 
system  because  of  charges  of  driving  while  under  the  influence  of 
alcohol.  It  is  difficult  to  quantify  the  time  I  spent  working  with  the 
program,  but  I  was  specifically  recognized  by  the  Bonner  R.  Kidd  Home 
for  Alcoholics  for  my  "untiring  efforts  to  improve  the  quality  of  justice  in 
the  Thirteenth  Judicial  Circuit." 

b.  As  Solicitor,  I  supported  and  assisted  in  the  establishment  of  Operation 
Success  at  Greetiville  Technical  College.  This  program  was  designed  to 
assist  low  income  students  in  completing  their  high  school  education.  I 
served  on  the  advisory  board  and  devoted  approximately  20  hours  to  it. 

c.  As  a  state  circuit  court  judge,  I  worked  on  a  method  of  assessing 
mandatory  fines  in  terms  of  day-fine  units  rather  than  set  amounts  to 
ease  the  burden  of  such  fines  on  low  income  defendants.  I  devoted 
approximately  100  hours  to  this  project. 

d.  As  a  judge,  I  have  always  tried  to  be  conscious  of  those  cases  in  which 
attorneys  were  appearing  in  court  ero  bono  so  that  every  effort  could  be 
made  to  accommodate  their  schedules  and  the  schedules  of  their  clients. 

The  American  Bar  Association's  Commentary  to  its  Code  of  Judicial  Conduct 
states  that  it  is  inappropriate  for  a  judge  to  hold  membership  in  any  organization 
that  invidiously  discriminates  on  the  basis  of  race,  sex,  or  religion.  Do  you 
currently  belong,  or  have  you  belonged,  to  any  organization  which 
discriminates-through  either  formal  membership  requirements  or  the  practical 
implementation  of  membership  policies?  If  so,  list,  with  dates  of  membership. 
What  have  you  done  to  try  to  change  these  policies? 

32 


197 


From  1 966  to  1 970,  I  attended  Davidson  College  which  at  the  time  I  attended 
was  all  male.  Consequently,  the  organizations  I  belonged  to  while  there.  Phi 
Delta  Theta  and  Scabbard  and  Blade  Honorary  Military  Society,  were  all  male. 

Is  there  a  selection  commission  in  your  jurisdiction  to  recommend  candidates  for 
nomination  to  the  federal  courts?  If  so,  did  it  recommend  your  nomination? 
Please  describe  your  experience  in  the  entire  judicial  selection  process,  from 
beginning  to  end  (including  the  circumstances  which  led  to  your  nomination  and 
interviews  in  which  you  participated). 

There  is  no  selection  commission  in  South  Carolina.  I  was  recommended 
by  Senator  Ernest  F.  Hollings.  I  have  completed  forms  for  the  FBI, 
Department  of  Justice,  and  American  Bar  Association.  I  was  interviewed 
at  the  White  House  by  officials  from  the  Department  of  Justice  and  the 
Office  of  White  House  Counsel.  I  was  interviewed  in  Greenville  by 
representatives  of  the  American  Bar  Association  and  the  FBI. 

Has  anyone  involved  in  the  process  of  selecting  you  as  a  judicial  nominee 
discussed  with  you  any  specific  case,  legal  issue,  or  question  in  a  manner  that 
could  reasonably  be  interpreted  as  asking  how  you  would  rule  on  such  case, 
issue,  or  question?    If  so,  please  explain  fully. 

No. 

Please  discuss  your  views  on  the  following  criticism  involving  "judicial 
activism." 

The  role  of  the  federal  judiciary  within  the  federal  government,  and  within 
society  generally,  has  become  the  subject  of  increasing  controversy  in  recent 
years.  It  has  become  the  target  of  both  popular  and  academic  criticism  that 
alleges  that  the  judicial  branch  has  usurped  many  of  the  prerogatives  of  other 
branches  and  levels  of  government. 

Some  of  the  characteristics  of  this  "judicial  activism"  have  been  said  to  include: 

a.  A  tendency  by  the  judiciary  toward  problem  solution  rather  than 
grievance  resolution; 

b.  A  tendency  by  the  judiciary  to  employ  the  individual  plaintiff  as  a 
vehicle  for  the  imposition  of  far-reaching  orders  extending  to  broad 
classes  of  individuals; 


33 


198 


A  tendency  by  the  judiciary  to  impose  broad,  affirmative  duties 
upon  governments  and  society; 

A  tendency  by  the  judiciary  toward  loosening  jurisdictional 
requirements  such  as  standing  and  ripeness;  and 

A  tendency  by  the  judiciary  to  impose  itself  upon  other  institutions 
in  the  manner  of  an  administrator  with  continuing  oversight 
responsibilities. 


I  believe  the  role  of  a  judge  is  to  rule  on  the  issues  presented  on  the  basis 
of  existing  law  as  expressed  by  statute  or  appellate  decisions.  A  judge 
should  not  attempt  to  use  3  case  to  impose  or  express  his  own  personal 
views  on  what  the  law  should  be.  A  district  judge  rules  on  the  basis  of 
the  law  as  it  exists  by  adhering  to  the  principle  of  stare  decisis. 


34 


199 


BY-LAWS 

OF 

THE  PIEDMONT  DANCE  CLUB 

ARTICLE  J; 

The  name  of  this  organization  shall  be  The  Piedmont  Dance  Club 
(hereinafter  referred  to  as  the  Club) . 

ARTICLE  II 

PURPOSE 

The  purpose  of  this  Club  shall  be  to  promote  the  social 
welfare  of  its  members.  The  Club  shall  annually  entertain  its 
members  at  a  formal  dance,  and  at  other  social  functions  as  may  be 
determined  by  the  Board  of  Directors. 

ARTICLE  III 

MEMBERS 

Section  One.   Eligibility. 

The  Club  shall  be  composed  exclusively  of  married  couples  who 
reside  within  a  twenty  (20)  mile  radius  of  the  city  limits  of 
Greenville,  South  Carolina,  and  who  have  resided  in  that  area  for 
a  period  of  one  (1)  year  or  more  prior  to  becoming  members. 
Eligibility  for  membership  shall  be  further  limited  to  couples,  one 
of  whom  is  thirty  (30)  years  of  age  or  older  and  who  was  born 
between  January  1,  1940  and  December  31,  1955. 

Section  Two.   Number. 

Membership  in  the  Club  shall  not  exceed  95  married  couples, 
except  as  provided  below.  (A  "member"  shall  refer  to  a  married 
couple. ) 

Section  Three.   Nomination. 

At  a  time  specified  by  the  Board  of  Directors  each  year,  names 
of  married  couples  may  be  nominated  for  membership  in  the  Club. 
Each  nomination  shall  be  on  a  standard  nomination  form  from  a 
member  in  good  standing  of  the  Club,  and  shall  bear  the  signatures 
of  two  other  members  in  good  standing  as  co-sponsors.  Letters  of 
nomination  shall  be  submitted  to  the  chairman  of  the  Membership 
Committee  as  specified  by  the  Board.  The  proposer  shall  submit 
nine  (9)  copies  of  the  proposal  blank  at  this  time.   No   members 


200 


shall  nominate  nor  be  given  as  co-sponsor  for  more  than  two  (2) 
nominees  per  year.  Members  of  the  Board  shall  neither  nominate  nor 
be  listed  as  co-sponsors  on  nominations.  The  Membership  Committee 
shall  review  all  nominations  for  residency  requirements  and  proper 
nomination  procedures  and  shall  submit  all  valid  nominations  to  the 
Board.  Election  of  nominees  to  membership  shall  be  by  secret 
ballot.  An  affirmative  vote  of  7  of  9  members  of  the  Board  shall 
be  required  for  election  to  membership. 

Section  Four.   Associate  Member. 

A  member  in  good  standing  who  changes  his  place  of  residence 
with  intent  to  remain  without  the  boundaries  of  the  Club  for  a 
period  of  three  (3)  or  more  months  shall  automatically  become  an 
associate  member.  Associate  members  shall  not  have  the  privilege 
of  voting  at  membership  meetings.  Any  associate  member  who  again 
resides  within  the  Club  boundaries  shall  become  an  active  member, 
upon  request  to  be  placed  on  the  active  roll  within  three  (3) 
months  of  his  return,  notwithstanding  the  fact  that  such  request 
may  result  in  the  Club  membership  exceeding  95  members.  Associate 
members  who  fail  to  request  reinstatement  to  active  rolls  within 
three  (3)  months  of  their  return  shall  be  dropped  from  the  Club 
rolls.  An  associate  member  will  pay  $10.00  per  year  to  be  retained 
on  the  membership  rolls,  but  if  that  member  attends  two  social 
functions  in  one  calendar  year,  the  $10.00  yearly  fee  will  be 
credited  against  the  assessment  paid  for  the  second  social 
function.  They  will  be  expected  to  pay  the  assessment  for  each  of 
the  parties  they  attend. 

Section  Five.   Resignation. 

Members  must  resign  by  tendering  written  resignations  to  the 
Board  of  Directors,  giving  thirty  (30)  days  notice.  Resignations 
nay  not  be  accepted  or  acted  upon  after  notification  to  members  of 
mandatory  functions  and  dues  until  after  said  function  is  held. 
Members  who  resign  shall  not  attend  Club  functions  and  shall  not  be 
again  considered  for  membership  for  a  period  of  two  (2)  years. 

Section  Six.   Delinquency. 

Members  who  have  not  paid  their  dues  within  45  days  of  the 
date  when  they  are  due  shall  be  automatically  dropped  from 
membership  not  withstanding  the  provisions  of  Section  7. 

Section  Seven.   Expulsion. 

Members  may  be  expelled  for  cause  from  the  Club  upon  a  three 
fourths  (3/4)  affirmative  vote  of  the  members  of  the  Board  of 
Directors.  Members  shall  be  allowed  to  resign  in  the  best  interest 
of  the  Club  prior  to  such  expulsion. 


201 


Section  Eight.   Non-Acceptance  of  Invitation  to  Join. 

Couples  who  decline  membership  shall  not  be  considered  again 
for  membership  for  a  period  of  two  (2)  years. 

Section  Nine.   Death  of  a  Spouse. 

In  the  event  of  the  death  of  a  spouse,  the  surviving  spouse 
will  automatically  be  assigned  to  Reserve  Member  status  and  will 
continue  as  a  non-voting  member.  Reserve  members  will  pay  only  for 
those  club  functions  which  they  may  choose  to  attend.  Reserve 
Members  may  bring  guests  to  club  functions  upon  payment  of 
appropriate  assessments. 

Should  any  Reserve  Member  remarry,  they  will  automatically  be 
dropped  from  the  Club  membership,  but  may  be  proposed  in  the  future 
for  membership  through  the  procedures  provided  in  Article  Three, 
Section  Three. 

ARTICLE  rV 

ATTENDANCE  AT  SOCIAL  FUNCTIONS  AND  ACTIVITIES 

Section  One.   Eligibility. 

Only  members  and  those  receiving  invitations  shall  attend 
social  functions  and  other  activities  of  the  Club. 

Section  Two.   Dues  and  Assessments. 

Active  members  shall  be  obligated  for  all  dues  and  assess- 
ments, whether  or  not  the  function  is  attended. 

Section  Three.   Guests. 

The  number  of  guest  invitations  for  any  Club  function  will  be 
determined  by  the  Board. 

Section  Four.   Notice. 

Each  active  and  associate  member  of  the  Club  shall  be  notified 
by  mail  addressed  to  their  last  known  address  as  to  the  date,  time, 
place  and  attire  of  any  Club  function.  Such  notice  shall  be  mailed 
not  less  than  twenty  (20)  days  prior  to  the  function. 


202 


ARTICLE  V 

DUES  AND  TNTTTATION  FEES 

Section  One.   Initiation  Fees. 

Initiation  fees  shall  be  $75.00  which  is  payable  upon 
acceptance  of  an  invitation  to  join  the  Club. 

Section  Two.   Dues. 

Dues  will  be  $150.00  per  year,  to  be  billed  in  the  fall  of  the 
calendar  year. 

Section  Three.   Nonpayment  Penalty. 

A  $10.00  penalty  shall  be  added  for  nonpayTnent  of  dues  or 
assessments  within  thirty  (30)  days  from  the  due  date. 

Section  Four.   Additional  Assessments. 

The  Board  of  Directors,  by  majority  yote,  reserves  the  right 
to  require  additional  assessments  for  individual  functions. 

ARTICLE  VI 

MEETINGS 
Section  One.   Time. 

The  Annual  Membership  Meeting  shall  be  held  in  the  winter  of 
the  year,  at  a  date  and  time  to  be  determined  by  the  Board. 
Nominations  for  membership  to  the  Board  shall  be  submitted,  with 
the  nominee's  consent,  to  the  Secretary  of  the  Club  at  least  five 
(5)  days  prior  to  the  annual  meeting. 

Section  Two.   Notice. 

Ten  (10)  days'  notice  shall  be  given  by  mail  by  the  Secretary 
of  the  Club  of  all  meetings,  regular  and  special,  of  the 
membership. 

ARTICLE  VII 

BOARD  OF  DIRECTORS 

Section  One.   Responsibility 

The  Board  of  Directors  shall  have  responsibility  for  general 
management  of  the  affairs  and  business  of  the  Club  and  shall  fix 
the  rules  and  regulations  for  the  conduct  of  the  affairs  of  the 
Club,  including  but  not  limited  to,  dues,  initiation  fees,  assess- 


203 


ments,  penalties  for  late  payment,  and  the  method  of  payment. 

Section  Two.   Number  and  Term. 

The  Board  of  Directors  shall  consist  of  nine  (9)  members  of 
the  Club.  Terms  of  the  office  shall  be  three  (3)  years.  One-third 
(1/3)  of  the  Board  shall  be  elected  each  year  by  the  Club 
membership  at  the  Annual  Membership  Meeting.  The  term  of  office 
for  Board  members  and  officers  shall  commence  at  the  time  of  the 
first  meeting  held  after  the  February/March  dance. 

Section  Three.   Meetings. 

Meetings  of  the  Board  may  be  called  at  the  discretion  of  the 
President  or  shall  be  called  upon  written  petition  of  four  (4) 
members  of  the  Board. 

Section  Four.   Quorum. 

A  quorum  of  the  Board  shall  consist  of  three-fourths  (3/4)  of 
the  membership  of  the  Board. 

Section  Five.   Vacancies. 

Vacancies  on  the  Board  shall  be  filled  as  soon  as  practical 
from  the  membership  of  the  Club. 

Section  Six.   Reelection. 

Board  members  shall  be  eligible  for  reelection  to  the  Board 
one  (1)  year  after  the  expiration  on  their  last  term. 

Section  Seven.   Absence. 

Any  Board  member  who  is  absent  from  four  (4)  consecutive  Board 
meetings  each  year  shall  be  considered  to  have  resigned  from  the 
Board  and  a  successor  shall  be  elected. 

Section  Eight.   Annual  Report. 

The  Board  of  Directors  shall  present  an  Annual  Report  to  the 
membership  at  the  Annual  Membership  Meeting.  The  report  shall 
include,  but  not  be  limited  to,  a  financial  activity  report, 
membership  report,  and  By-Law  revision  report. 

ARTICLE  VIII 

OFFICERS 

Section  One.   Term. 

The  officers  of  the  Club  shall  be  elected  by  the  Board  of 
Directors  from  the  members  of  the  Board.   The  officers  shall  be: 


204 


President,  President-Elect,  Secretary,  and  Treasurer.   Terms  of 
office  shall  be  one  year  commencing  from  the  date  of  election  which 
shall  be  the  first  meeting  held  after  the  February/March  dance. 

Section  Two.   President. 

The  President  shall  preside  over  all  meetings  of  the  member- 
ship and  the  Board.  He  shall  have  general  supervision  over  the 
affairs  of  the  Club  and  shall  appoint  and  be  an  ex-officio  member 
of  all  committees.  He  has  the  authority  to  execute  all  legal 
documents  and  checks  on  behalf  of  the  Club. 

Section  Three.   President-Elect. 

The  President-Elect  shall  be  Chairman  of  the  Social  Committee 
and  shall  preside  at  meetings  in  the  absence  of  the  President.  The 
President-Elect  shall  automatically  assume  the  office  of  the 
President  at  the  end  of  the  President's  term  of  office. 

Section  Four.   Secretary. 

The  Secretary  shall  keep  an  accurate  account  of  all  meetings 
of  the  Board  and  of  the  membership.  He  shall  prepare  the  Annual 
Report  and  is  responsible  for  the  notification  to  the  membership  of 
all  meetings  and  functions  of  the  Club.  He  serves  as  Chairman  of 
the  Membership  Committee. 

Section  Five.   Treasurer. 

The  treasurer  shall  be  the  chief  financial  officer  of  the 
Club.  He  shall  submit  statements  to  members  of  all  funds  due  the 
Club;  prepare  the  financial  activity  portion  of  the  Annual  Report; 
receive  and  disburse  all  Club  funds;  and  shall  keep  an  accurate 
record  of  the  same.  All  checks  issued  by  the  Club  shall  be  signed 
by  the  Treasurer  or  the  President. 

ARTICLE  IX 

COMMITTEES 

Section  One.   Membership. 

Two  members  of  the  Board  shall  be  named  to  the  Membership 
Committee  by  the  Secretary,  Chairman  of  the  Committee. 

Section  Two.   Social. 

The  Social  Committee  will  be  chaired  by  the  President-Elect. 
The  Committee  is  comprised  of  Board  members  and  up  to  six  couples 
of  the  membership.  The  responsibilities  of  this  committee  are  to 
plan  parties,  to  work  within  the  Dance  Club  budget,  and  to  make 
arrangement  for  the  band. 


205 


Section  Three. Nominating.. 

The  Nominating  Committee  shall  consist  of  the  President, 
President-Elect,  Secretary,  and  Treasurer.  Their  function  shall  be 
to  prepare  a  slate  of  Board  members  to  be  presented  and  voted  on  at 
the  Annual  Meeting. 

Section  Four.   Additional. 

The  President  shall  name  those  other  committees  of  the 
membership  as  may  be  deemed  necessary  for  the  orderly  functioning 
of  the  affairs  of  the  Club. 

ARTICLE  X 

PARLIAMENTARY  AUTHORITY 

Section  One.   Interpretation. 

The  interpretation  by  the  Board  of  Directors  of  the  By-Laws 
and  other  parliamentary  authority  is  final. 

Section  Two.   Rules. 

The  rules  contained  in  Robert's  Rules  of  Order  Newlv  Revised 
shall  govern  the  Club  and  the  Board  in  all  cases  in  which  they  are 
applicable  and  in  which  they  are  not  in  conflict  with  the 
provisions  of  the  By-Laws. 

Section  Three.   Definition. 

In  these  By-Laws,  the  term  "of  the  members  of  the  Board"  shall 
refer  to  every  member  holding  office  on  the  Board;  the  term  "by  the 
Board"  shall  mean  a  majority  of  the  Board  present  and  voting, 
provided  a  quorum  exists. 

ARTICLE  XI 

AMENDMENTS 

These  By-Laws  may  be  amended  only  by  the  affirmative  vote  of 
three-fourths  (3/4)  of  the  members  of  the  Board  of  Directors  at  a 
regular  or  special  meeting  of  the  Board,  provided  that  notice  of 
such  pending  change  is  set  forth  in  the  notice  of  the  meeting. 


206 


i    AO-IOtwl 


FINANCIAL  DISCLOSURE  REPORT 

Nomioatioo  Report 


Report  lUquirtd  by  ihe  EtMicj 
fUform  Aa  <^  1999  Fith  L  So 
I0!'I94.  SffmmUf}0.  1999 
(SLSC  App  4.  See  101-112) 


I.  f  crwB  Rrporti»f  (lasi  r^mt.firu.  middle  milialj 

TRAXLEB,    Jr..    William  B. 


2.  Co«n  or  Org aaiutioa 

U.S.   Cc.   of  Appeals.    4ch  Cir 


3.  Dale  of  Report 

0"J/14/199e 


4.  Tide  (Article  tJljitdges  utdteau  octntt  or 

aemor  status,  magistrate  judges  indicate 
full'  or  pon-time) 

U.S.   Circuit  Judge--Noounee 


S.  Report  T>pc  (clwck  type) 

07/10/1998 


_  Nomination,    Date 
Initial  Annual 


(.  Reportiag  Period 

01/01/1997 


7.  Oanbcn  or  Offkc  Address 

P.    O.    Box   10127 
Gce«nvillc«   SC     29603 


S.  On  ibe  basis  of  ibc  iaforaiarioa  coatalDed  ia  this  Report  aod  say 
modificatioos  pertaiaiftf  thereto,  it  b  ia  my  opiaioa.  ia  coaipliaBC4 
svilb  applicable  laws  aod  refulatioBs. 


tXtFORTAST  SOTES-    The  Miintcitons  accompanymg  this  form  must  be  followed  Complete  all  parts, 
checking  the  SO\E  box  for  tach  section  h  here  you  ha\e  no  reportable  information   Sign  on  the  last  page 


I.    POSITIONS       ilf^porimg  indiMdual  only 

. .  POSITION 

I  ^      J  NONE    (No  reporubk  posiiKMU  ) 


e  pp  9-13  of  Instructions  f 


NAME  OF  ORGANIZATION  /  ENTITY 


II.     AGREEMENTS     (^po'H'f  •i^'^'dital  <ml\   uipp  UltoJIiulncnora) 

DATE  PARTIES  AND  TERMS 

I NONE   (No  fctxxublc  •Jjccmcnu  ) 

1     Oi/C0/«;  %:t:t  o;  S.C.  Ciiruit  J;;;«  B«:::«c«nc  beneSi:  dijiblc  •■:  i]<  5J 


III.    NON-CSAXSTMENT  LNCOME      r«^;>o"u.«»irf»i<*«,/«i</voi<»  «»«. /7.:v(jr/««.««»u.> 

DATE  SOURCE  AND  TYPE 

I I    NONE    (No  rcpoiubic  noninvcsDnenl  income  ) 

1      19$<  Craenvillc  T*ch.nic<l  Coll*;t--Sal*ry    (SI 


CROSS  LNCOME 

(>tM01,  fW  ffOUSC'l) 


Grttnvlllt  Ttchnictl  Colli9«--S<liiy  (SI 


Cr*«nvlllt  Ttehnical  Coll<9t--s«lary  (SI 


207 


FINANCIAL  DISCLOSURE  REPORT 


Name  of  Person  Reponin| 
TRAXL£it,    Jr.,   uilliam  B. 


OauofRqion 

07/14/1599 


IV.  REIMBIHSEMENTS    -  transportation,  lodging,  food,  entertainment. 

(hctudtt  Ihosf  toipouse  and dtfxndtnl  children,  use  the parentheticaU  '(S)' and  ~tDC)'  to  indicate  reportable  reimbursements  recerved  by  spouse 
and  dependent  children,  respectively   See  pp  75-^8  0/ Instructions  ) 


n 


SOURCE 
NONE  (^°  ^^'■^  reporubic  rcimbunemcnu  ) 


DESCRIPTION 


1     Exempt  as  Nominee 


V.    GIFTS 

f Includes  those  to  spouse  and  dependent  childrei 
respecmely   See  pp  29' 3 2  of  Instructions  } 

.  SOURCE 

I    NONE      (No  such  reporubic  gifts  ) 


f  the  parentheticals  'iS/'  and  'iDC/'  to  indicate  gifts  recened  by  spouse  and  dependent  children. 

DESCRIPTION  VALUE 


VI.    LIABILITIES 

(includes  those  of  spouse  and  dependent  children,  indicate  inhere  applicable  person  responsible /or  liability  by  using  the  parenthetical  "(Sj' /or  separate 
liabtliiyo/ the  spouse  '(J)' /or  joint  liability  o/ reporting  indtviduat  and  spouse  artd  ~{DCj~  /or  liability  o/ a  dependent  child   See  pp  33-35  of  Instructions) 


Q 


CREDITOR 
KO.NE  (No  cepofuble  lubililics  ) 


DESCRIPTION 


VALUE  CODE* 


■  VALCODESJ-SIS.OOOocless  K-SIS.OOI-SSO.OOO  L-SSO.OOl  loSIOO.OOO  M-tl00,00l-S:S0.000  N-S2S0.0OI-SSO0.0O0 

0-tSM.OOI-SI.OOO.OOO   PI-SI.OOO.OOI-SS.000.000   P2-S5.0aO.OOI-S2S.O()0.000   P3-S2S.OO0.O0l-S$0.0OO.OO0    P4-SSO.000.00 1  or  more 


208 


Name  orPcrwfl  Repontng 
FINANCIAL  DISCLOSURE  REPORT     tpazler,   Jr.,  MiUiaa  B. 


Due  of  Report 

01/14/1959 


flnctudts  Ihost  ofspous*  aitd 

VII.  Page    I    INVESTMENTS  and  TRUSTS-  income,  value,  transactions    dt/xntitnt childrtiL  Stt pp  3i-n <,/ liuincnoiu ) 


A- 
Descnplion  of  Assets 

Indicate  uhere  applicable,  ovtner  of 
the  asset  by  using  the  parenthetical 
"(J)' /or  joint  0>*nership  of  reporting 
individual  ami  spouse.  "(S)"  for  sep- 
eraie  oy^nership  by  spouse.  "(DC)' 
for  owntrship  by  dependeni  child 

Place  '(Xy  after  each  asset 
extmptfrom  prior  disclosure 

B 

Income 
repomn 

during 
Spenod 

C 

Cross  value 

al  end  of 

reporting 

penod 

D 
Traiuactions 

during  reporting  penod 

(1) 

Amount 
Code 
(A-H) 

(2) 
T>T>e 
(eg., 
dividend. 

interest) 

(1) 
Value 
Code 
(i-P) 

(2) 

Value 

Method 

Code 

(O-W) 

(1) 

T>pe 

(e  t  ■  •>">. 

sell,  partial 

sale. 

merger. 

redemption) 

If  not  exempt  from  disclosure 

(2)         (3)      (4)        (5) 
Date       Value  Gain     ldentit>  of 
Month-  Code  Code     buver/selln 
Day        ()-P)   (AK)   (ifprivaie 
transaction) 

.NONE    (No  reportable  income.assets.  or 
transactions ) 

Exemp 

t   as  Nominee 

1    Greenville  Coutvty,    S.C.      (Jl 

None 

K 

S 

2     (1)    Leon  Co;;r.ty,    Fla.    39.9 
acres,    1/5   ir.-.erest    (S) 

None 

M 

w 

3    ID    Leon  Cci;n:y.    Fla.    6   acres 
(SI 

None 

« 

u 

4    (3;    Leon  Ceur.ly,    Fla.    20.5: 
acres,    1/5  ir.reres;    !S' 

None 

K 

w 

5    ;4I    Leer.  Cour.iy,    FL   151.13  acres 
2/12   ♦  2/25   interest    IS) 

None 

M 

" 

6  Sor.oco  stock   iccraoni 

A 

Dividend 

J 

T 

"    Asset    Investors   stock    lccr:.-cr.l 

" 

Civiiend 

J 

T 

8   iteliastar  stock   (cosenon) 

A 

Dividend 

J 

T 

9    easily  Steakhouses  of   Florida 
itcre    icj=i.T.or-       ^DCl 

None 

J 

T 

10    Faaily  Steakhouses  of  Flcriia 
stock   (connion) 

None 

J 

T 

11    Pie±r,ont  Municipal   Power  tcnJ 

A 

Interest 

Redeem 

None  None 

12   Greenville    iSCI    National   Bank  CD 

D 

Interest 

K 

13   Greenville    ISCl    Kational  Sank  CD 
ISCI 

A 

Interest 

J 

14    Greenville    (SCI    Kational   Bank  CO 
(DO 

A 

Interest 

J 

1 

1            1 

15    Palmetto  Bank,    Greenville,    SC 
checking 

A 

Interest 

3 

J            i 

1«    Palmetto  Bank,    Greenville,    SC 
savings    (DC) 

A 

Interest 

3 

1           1 

!      !      ' 

17    Greenville    ISCI    National  Bar.k 
checking/CD   (SI 

A 

Interest 

K 

i            i        i        I 

llncASlin  Codes  A-S  1.000  or  leu                    B-SI.0OI-S2.SO0 
(CdBI.W)      F-IJO.OOlf  100.000             Oil  00.001 -SI. 000.000 

C-SJ.501-$5.000 
H1-S1.000.001S5.000.000 

C^SS.001-SI5,000                     E-S15.0O1-S5O.00O 
H2-SS,000.001  01  more 

ZVaJCodej          J-J  15.000  or  less                   K-JI5.001-J 

(Col  CI.  03)    o-s;oo.ooi-t  1.000.000     pi-si.ooo.oo 

»0.000 

■S3.ooo.ooo  r 

L-S50.00  IS  100.000             M-$IOO.OOI-S250.000           N-S25O.OO1S5OO.0OO 
'2-S3.000.001-S2),0O0,O00  P3-S2S.O0O.0Ol-S50.0O0.00O  P4-S50.000.00l  or  moR 

3  Val  Mill  Codes   OAppraisal                           R<oa  (real 
(Col  C7)            U-Book  Value                      V-OUier 

eiaieonl)) 

W-ESUflUKtf 

T-CajWMBtel 

209 


Name  of  Penon  Repofting 
FINANCIAL  DISCLOSURE  REPORT     t?a;<ie3,   Jr.,   wiiu 


Dale  of  Repon 

07/14/1599 


VII.  Page   2    INVESTMENTS  and  TRUSTS-  income. 


(Jncludts  thou  oj  spouM  and 

value,  transactions     dtptmUm  chddrin.  Sttpp  56-54  of  liamcnoia) 


K 
Description  of  Ai5«s 

Indicate  whert  applicable.  o\*ner  of 
the  asset  by  using  the  parenthetical 
"(Ji'  for  joint  ownership  of  reporting 
individuat  and  spouse.  ySj'forsep- 
erale  oymrihip  by  spouse.  -(DC)- 
for  ownership  by  dependent  child 

Place  -(X)  •  after  each  asset 
exempt  from  prior  disclosure 

B 

Income  during 
reporting  period 

C 

Gross  value 

at  end  of 

reporting 

period 

0 

Transactions  during  reporting  period 

(1)            (3) 
Amount    T>pe 
Code        (e  g . 
(A-H)       dividend. 
rent  or 

(1)       (2) 
Value  Value 
Code    Method 
(J-P)    Code 
(Q-W-) 

(1) 

T>pe 

(e  g .  buy. 

sell,  partial 

sale. 

merger. 

redemption) 

irnot  exempt  from  dis 

closure 

;  (2)     (3)   (4) 

Date       Value  Gain 

'   Month-  Code  Code 

Day        (J-P)   (A-H) 

(5) 

Identity  of 
buyer/seller 
(if  private 
transaction) 

1  .NONE    (No  reporublc  income, assets,  o 
1                transactions ) 

Exempt 

as   Nominee 

18    Is:   Union  Nat'l    Bank, 
Greenville,    S.C.    IRA    IS) 

A 

Ir.t 

J 

T 

:9    Dela-.a.-e  Char-.er  G47  Co. 

wl.T.-.g-.n,    D£,    Viash.M'jt .  Ir.v.    : 

PJl 

"■•■---"- 

K 

T 

20   Wall   Cisr.ey  Ccnpany   stock 
(czr.iicr.:       i:!0 

A 

Divrier.i 

J 

T 

2!    Xal-    Eisr.ey  Ccr.pany   stock 
lcc.Tj.or,,       IDC) 

A 

riv-.- 

J 

T 

22    Wer.dy's    Interr.a-.ic-al.    Inc. 
5-.=ck    :cc:=r.:r.i     (DC) 

A 

--•■■"-•- 

J 

T 

23   Ker.iy's   :r.-.er.-.a;io.-.a:.    It.:. 

stick     (CCTJ-O.-.l      IDC) 

c             A 

llvv:,.: 

J 

T 

24    CcT.-ercial   Assets,    Inc.    stoc 
lccr.T.=r.j 

J 

T 

25    Dart.    :.-.c.    stcck    lcor-.T.or.) 

.•;or.e 

J 

T 

26   Kctorola   stock    Iconnon)     IS) 

A 

Civiie-J 

J 

T 

21    McDonalds   stock    Icormor.)     (S) 

A 

D;vi:».-.d 

J 

T 

23    Kellogg's   stock    (coraon)     (Si 

A 

'-■•■---"- 

J 

T 

29    RP.M  SCOCk    (coisr.onl     (S) 

A 

Civrier.d 

J 

T 

30    Satior.s3ank,    Cletnson,    SC 
checking    IDC) 

None 

J 

T 

31    E-Tiergent  Group,    Inc.    stock 

Kone 

J 

i 

T 

1                         1          ' 
1 

32    Envoy  Corp.    stock    (commonl 

1 

None 

!' 

T       i 

!       I 
1 

33    First  Merchants  Accept.    Corp 
stock    (conaaon] 

None 

Loss 

None 

1 

None 

i 

'       !      1 

34     Staffmark,    Inc.    stock    (conuno 

ni     ,    B 

Capital  None 
Gain        i 

1 

None 
i 

:  1 

1  Inc/Gain  Codes  A-$I.OOO  or  less 
(ColBl.DJ)       F-550.001-$IOO.OOO 

B=$1.001-$2.500 
G=S  100.001 -$1,000,000 

C-J2,50I -$5,000 
Hl-$l,000.00l-$5,000.000 

D-$5.001-$I5.000                     E-$l  5,001  $50,000 
H2-$5.0O0.00l  or  more 

2ValCodes          J-$l  5.000  or  less 
(ColCI.D3)     O-5500.001-$1.000.000 

K-SI  5.001 -$50,000               L-J50.001-$100.000               M-$100.00l-$:50.000             N-J250,OOI-I5OO.0OO 
P1-S1.000.00I-$S.OOO.OOO  P2-J5.0OO.0Ol-$25.OOO.OOO  P3=$25.OOO.0OI-J5O,O0O,0OO  P4="S50.O0O,00l  or  more 

JValMthCodes   Q-Appraisal 
(Col  C2)            U-Boot  Value 

RK'ost  (tea 
V-Other 

estate  only) 

S= Assessment 
W-Estimaleil 

T-Cash/MariLcl 

210 


Name  of  Pcnon  Reporting 
FINANCIAL  DISCLOSURE  REPORT     traxlep.   :z..  miu 


Dau  of  Report 

07/:4/1959 


(Includes  thou  o/spouit  and 

VII.  Page  3    INVESTMENTS  iod  TRUSTS-  income,  value,  transactions    dependent chidrtn  Seepp  i6-54 of tnstmcuons } 


Oeschption  of  Assets 

Indicate  where  appltcabte.  owner  q^ 
ihe  atsei  by  lumg  the  partntheUcai 
'(J)' for jotnt  ownership  o/reporimg 
individual  and  spouse.  'fSj'/orsep- 
eraie  ownership  by  spouse.  '(DC)' 
for  ownership  by  dependent  child 

Phct  "(X)  '  after  each  asset 
txtmptfrom  prior  disclosure 


B  CO 

Income  dunng  Gross  value       Transactions  dunng  reporting  pcnod 

reporting  period  ai  end  of 

reporting 

penod 


(I)  (2) 

Amount  Tvpe 

Code  (e  g . 

(AH)  dividend. 

interest) 


(I)       (2)  (1) 

Value  Value  Tvpe 

Code    Method  (eg.  buy. 

(J-P)    Code  sell,  panial 

(Q-\^')  sale. 

redemption) 


If  not  exempt  from  disclosure 


(2) 


(3)      (4)        (5) 


Date       Value  Gain     Idenuty  of 
Month-  Code  Code     bu>er/seller 
Day        (J-P)    (A-K)    (if  private 
transaction) 


NONE    (No  reportable  income.assets.  * 
transactions) 


Exempt    as  Nomioee 


3S    Premier  Bancshar 


!  36    J.C.    Bt«i5ord.    Creer.vilie,    SC 


37   Palaerco  Sank,    Greenville,    SC 


33   Kacior.s3ar.lc,    Clenson,    SC     CO 


Advanced  Micro  Dev 
(coBr:on»      C-C 


AO  National   Sexiconductor  Corp.  A 

scocic    iccsnor.j      DC 

41    P«lnc-:c  B«r.k,    Greenvjille  SC     C3    a 


Oiviiier.d   J 


Carolina  first  Bank,  Greenville. 
SC   chcc<in9  (DC) 


■   45 

4« 

47 

4S                                                                                                     :                      .                           < 

■"                                  :       .          i     :      1              ill 

:     :       1   M         i     r   : 

■                 i     i      !              j       j     :     : 

1  ImASun  Codei  A-S  1.000  or  lai 
(Col  B 1 .  D4)      F-J50.00 1  ■$  1 00.000 

B-JI.00l-$:,500 
G-t  100.00  IS  1.000.000 

C-J2.5Ol-$5.0OO 
Hl-$1.000.001-$5.000.000 

[>-$5.00l-$15.0O0 
H2-J5.000.00I  or  iik 

E-$1S.OOI-$50.000 

JVilCodcj 
(Col  Cl.DJ) 

J-SIS.OOOoclns 
O-SSOO.OOl-S  1.000.000 

K-J15.00I-$50.0OO              L-$50.00l -J  100.000              M-J100.001-J2SO.OOO            N-S250.0OI  $500,000 
P1-J1,000.001-$5.000.000  P2-J5.000.001 -$25,000,000  P3-$:5.OOO.0Ol$5O.OOO,0OO  P4-$50.000.00l  or  more 

3  Val  Mlh  Codes 
(Col  C2) 

Q>  Appraisal 
U-Book  Value 

R-Cosi  (real  esiaie  onl>) 
V-0*er 

S- Assessment 
W-Estunaied 

TKTlsh/MaiVct 

211 


FINANCIAL  DISCLOSURE  REPORT 


Name  ofPenon  Repofting 

TBAXLE?.    Jr.,    Willi 


Due  of  Report 

01/:«/1998 


VIII.     ADDITIONAL  INFORMATION  OR  EXPLANATIONS. 

(tndtcalt  pari  ofrtpon  ) 

I  In  Part  II,  I  am  eligible  for  a  lifetime  monthly  retirement  benefit  of  approximately  lB/24  of  11. 3»  of  the 
salary  of  a  Circuit  Judge  of  South  Carolina  when  I  as  55  years  of  age. 

In  Part  VII,  tl--Greenville  County,  S.C,  total  ta.iable  value  is  S40, 106.00. 

In  Part  VII,  tl8--This  IRA  is  a  cash  account  at  the  financial  institution. 

:n  Part  v:i,  •19--Ka3h .«ut . Inv.  stands  tor  Washington  Mutual  Investors  Fund,  Inc. 

:.-.  Par;  v::.  i:5--:ar:.  Inc.  changed  its  na.T.e  to  Telequest. 

In  part  VII,  #31--E.tiergent  Group,  Inc.  has  changed  its  nar.e  to  Home  Gold  Finance. 


212 


FINANCIAL  DISCLOSLRE  REPORT 


Name  of  Ptnon  Reporrutg 

TRA/lEP,    Jr.,    Willi 


Oac  of  Report 

07/14/1998 


IX.   CERTIFICATION 


In  con^liAHC*  with  the  provisions  of  2B  O.S.C.  4S5  and  of  Advisory  Opinion  No.  5?  of  the  Advisory  Coeauctet  on 
Judicial  Activities,  and  to  the  best  of  my  knowledge  at  the  tine  after  reasonable  inquiry,  X  did  not  perform  any 
adjudicatory  function  In  any  litigation  during  the  period  covered  by  this  report  in  which  X.  my  spouse,  cr  my 
Bunor  or  dependent  children  had  a  financial  interest,  as  defined  in  Canon  3C(3) (c),  in  the  outcoae  of  such 
litigation. 


I  certify  that  all  the  i 
dependent  children,  if  any) 
information  not  reported  was 


ithheld  becau 


above  (including  information  pertaining  to  my  spouse  and  mino 
e,  ar.d  complete  to  the  best  of  my  knowledge  and  belief,  and  th 
e  It  =:et  applicable  statutory  provisions  permcimg  non-disclo 


I  further  certify  that  earned 
have  been  reported  are  in  cosplian 

ar.d  Judicial  Conference  regulation 


-cone  from  ouiside 
e  with  the  prcvisic 


=iploynient  and  honoraria  and  the  accepta 
s  of  S  U.S.C.  app.  4,  section  501  et.  s 


of  gifts  which 

5  O.S.C.    7353 


uJ  jS  «  ^^-^    /S 


^ 


i/ifhs 


to  civii   4r.3  cz:' 


FILING  INSTRUCTIONS 

Mail  original  and  thm  addilional  copies  to: 

Committee  on  Financial  Disclosure 
Administrative  OfTice  of  the  United  States  Courts 
One  Columbus  Circle,  N.E. 
Suite  2-301 
Washington,  D.C.  20544 


213 


FINANCUL  STATEMENT 
NET  WORTH 


Willlao  B.  Traxler.  Jr. 


As  of  July  7,  1998 

Provide  s.  compktc,  currcnt  finandal  net  wonh  smcmcat  which  iicmizcs  in  detail 
all  assets  excluding  bank  accounts,  real  estate,  tecurities,  tmts,  invcOTjeats.  and  odicr  finandi 
holdings)  ell  liiKUries  Cmcloding  debts,  mortgagci,  loans,  and  other  financial  obUgations^  of 
yourself,  your  spouse,  and  other  immediate  members  of  your  household. 


214 


LISTED  SECURITIES 


Name 

No.  of  Shs 
(all  common) 

Value 

Walt  Disney  (DC) 

38 

$4,049.00 

Sonoco  Products 

138 

4,174.50 

Home  Gold  Finance,  formerly  Emergent  Group 

500 

2,625.00 

Envoy  Corporation 

100 

4,663.00 

Premier  Bancshares 

150 

4,275.00 

Advanced  Micro  Devices  (DC) 

55 

990.00 

National  Semiconductor  (DC) 

63 

819.00 

Reliastar 

28 

1,386.00 

Asset  Investors 

60 

1,023.60 

Commercial  Assets 

150 

1,021.50 

Wendy's  (DC) 

10 

225.60 

Wendy's  (DC) 

10 

225.60 

Family  Steak  Houses  (DC) 

45 

76.05 

Family  Steak  Houses  (DC) 

45 

76.05 

Family  Steak  Houses 

15 

25.35 

Motorola  (S) 

8 

440.00 

McDonald's  (S) 

12 

889.60 

Kellogg's  (S) 

16 

608.00 

RPM  (S) 

10 

175.00 

Total  value  of  securities 

$27,767.85 

UNLISTED  SECURITIES 


Telequest,  formerly  Dart 

5000 

-0- 

(S)  =  Spouse 


(DC)  =  Dependent  Child 


215 


REAL  ESTATE  OWNED 


Real  Estate  Owned 

Value 

Greenville,  South  Carolina  (S) 

$325,000.00 

Cleveland,  South  Carolina  (J) 

40,000.00 

1/5  interest  in  39.9  acres  (S) 
Leon  County,  Florida 

100,000.00 

8  acres  (S) 

Leon  County,  Florida 

110,000.00 

1/5  interest  in  20.58  acres  (S) 
Leon  County,  Florida 

40,000.00 

2/12  +  2/25    interest  in  151 .13  acres  (S) 
Leon  County,  Florida 

140,000.00 

2  cemetery  plots  (J) 
Christ  Episcopal  Church 

5,000.00 

Total  value  of  real  property 

$760,000.00 

(S)  =  Spouse 


(J)  =  Self  and  Spouse 


216 

REAL  ESTATE  MORTGAGES  PAYABLE 


Home  mortgage  Banc  One  Mtg.  Corp.  $65,600.00 

Indianapolis,  IN 


217 


UNITED  STATES  SENATE  JUDICIARY  COMMITTEE 
JUDICIAL  NOMINEE  DATA  QUESTIONNAIRE  AND  ANSWERS 

CANDIDATE  -  HORACE  DEAN  BUTTRAM,  JR. 

U.  S.  DISTRICT  COURT  FOR  THE 

NORTHERN  DISTRICT  OF  ALABAMA 


(1)  Full  Name: 

Horace  Dean  Buttram,  Jr. 

(2)  Office  and  Mailing  Address: 

H.  Dean  Buttram,  Jr.  &  Associates,  P.C, 
Post  Office  Drawer  603,  Centre,  AL  35960 

(3)  Date  and  Place  of  Birth: 

I  was  born  on  November  12,  1950  in  Gadsden,  Etowah  County,  Alabama. 

(4)  MARITAL  STATUS: 

I  am  married  to  Mary  Frances  Hawkins  Buttram.  My  wife  is  a  speech-language 
pathologist.  She  is  employed  by  the  City  of  Gadsden,  Alabama  Board  of  Education, 
1 026  Chestnut  Street,  Gadsden,  Alabama  35901  and  she  is  also  employed  as  a  speech 
pathologist  on  a  part  time  basis  by  Gadsden  Regional  Medical  Center  Home  Health  and 
Hospice  Agency,  425  5th  Avenue,  N.W.,  Attalla,  Alabama  35954 

(5)  EDUCATION:  Ust  each  college  and  law  school  you  attended,  Including 
dates  of  attendance,  the  degrees  awarded  and  dates  degrees  were 
granted. 

College  Attended  Attendance  Dates  Degrees 

*         Auburn  University  9/68  - 12/68  None 

Auburn,  AL 


53-754  99  -  8 


218 


Jacksonville  State 
University 
Jacksonville,  AL 

1/69  -  5/72 

RfrheiorcfArts 
5/72 

Jacksonville  State 
University 
Jacksonville,  AL 

1/73  -  6/75 

Master  of  Ri  IS. 
Adm.  (M.B.A.) 
and 

Master  of  Rt«-. 
Adm.  (M.P.A.) 

Samford  University 
Cumberleind  School  of  Law 
Birmingham,  AL 

9/72  -  1/73 

and 
9/75  -  5/78 

Doctor  of 

Jurisprudence 

(J.D.) 

Gadsden  State 
Community  College 
Gadsden,  AL 

Summer  Quarters 
1970  &  1971 

No  Degree 
Just    Course 
Work 

I  transferred  from  the  Auburn  University  Pre- Veterinary  Program  to  the 
Jacksonville  State  University  Liberal  Arts  Degree  Program  in  January,  1969. 

EMPLOYMErrr  record:  Ust  (by  year)  all  business  or  professional 
corporations,  companies,  firms,  or  other  enterprises,  partnerships, 
Institutions  and  organizations,  nonprofit  or  otherwise.  Including  firms, 
with  which  you  were  connected  as  an  officer,  director,  partner, 
proprietor,  or  employee  since  graduation  from  college. 


1972-1973 


Work  Study  Program  at  Jacksonville  University, 
Jacksonville,  Alabama 


1974-1975  Full  Time  Student 

1 976-1 978  Instmctor  while  law  student  and  for  6  months  thereafter 

at  Alabama  Christian  College  (now  Faulkner  College) 


1977-1978  I  worked  legal  assistant  for  Alabama  Attomey  General 

William  J.  Baxley  during  my  second  and  third  years  of 
law  school.     Mr.   Baxley  supervised  me  and  has 


219 


personal  knowledge  of  my  work.  The  nature  of  my 
work  involved  legal  research  for  the  Attorney  General 
and  assisting  investigators  in  the  handling  of 
complaints. 

1978-1983  Sole  Practitioner  Attorney 

1983-1991  Buttram  &  McWhorter  Law  Rrm,  Partner 

1991 -Present  H.  Dean  Buttram,  Jr.  &  Associates  Law  Firm 

(incorporated  as  a  P.C.  in  1996) 
Sole  Stock  Owner 

1983-Present  Municipal  Judge  for  the  City  of  Centre,  Alabama 

1 988-1 995  Member  of  Board  of  Directors  and  Secretary  of  Centre 

Manufacturing  Company,  Inc. 

1992-1998  Member  of  the  Alabama  Ethics  Commission 

(Chairman  1995-96) 

1997-Present  Board  of  Directors  of  the  Nettie  King  Brown  Clearing  House, 

Inc. ,  a  non-profit  corporation  for  the  coordination  of  charitable 
giving  and  distribution  to  poor  and  needy  children  and  adults 
in  Cherokee  County,  Alabama. 


MILITARY    SERVICE:       Have    you    had    any    military    services? 

No.  I  did  complete  two  years  of  Army  ROTC  at  Jacksonville  State 
University,  Jacksonville,  AL. 

HONORS  AND  AWARDS:  Ust  any  scholarships,  fellowships,  honorary 
degrees,  and  honorary  society  memberships  that  you  believe  would  be 
of  Interest  to  the  Committee. 

In  1971  I  was  awarded  a  tuition  scholarship  from  the  East  Gadsden, 
Alabama  Civitan  Club  based  on  academic  performance  and  principles  of 
citizenship. 


220 


In  1972  Jacksonville  State  University  awarded  me  the  Clarence  William 
Daugette  Award  in  conjunction  with  being  the  'outstanding  male  graduate' 
for  the  1971-72  academic  year.  I  earned  the  highest  grade  point  average 
of  any  male  in  the  senior  class  (2.83  on  a  3.0  scale). 

While  a  graduate  student  at  Jacksonville  State  University  in  1974,  I  was 
elected  President  of  the  Graduate  School  student  body. 

In  December  1976  I  was  awarded  the  American  Jurisprudence  "Book 
Award"  for  excellent  achievement  in  the  study  of  criminal  law.  The  aweuxj 
was  presented  jointly  by  the  Cumberland  School  of  Law  and  The  Lawyers 
Co-Operative  Publishing  Company  in  recognition  for  attaining  the  highest 
academic  grade  for  my  class  in  said  law  school  course. 

In  June  1977  I  was  awarded  the  American  Jurisprudence  'Book  Award'  for 
excellent  achievement  in  the  study  of  equity  law.  The  award  was 
presented  jointly  by  the  Cumberland  School  of  Law  and  The  Lawyers  Co- 
Operative  Publishing  Company  in  recognition  for  attaining  the  highest 
academic  grade  for  my  class  in  said  law  school  course. 

In  1978  I  was  awarded  the  Dean's  Certificate  of  Achievement  and 
Appreciation  for  outstanding  contributions  to  the  Cumberland  School  of 
Law.  The  recognition  related  to  my  chairmanship  of  the  Cordell  Hull 
Speakers  Forum  during  the  1977-78  academic  year. 

BAR  ASSOCIATIONS:  Ust  all  bar  association,  legal  or  ludlcial-related 
committees  or  conferences  of  which  you  are  or  have  been  a  member 
and  give  the  titles  and  dates  of  any  offices  which  you  have  held  In 
such  groups. 

Cherokee  County  Bar  Association  member  since  1978. 
President  -  February,  1 998  to  Present  Date 

Alabama  State  Bar  Member  since  September,  1978 

American  Bar  Association  member  since  1978 

Phi  Alpha  Delta  Legal  Fratemity  member  since  1976 


221 


United  States  Supreme  Court  Historical  Society  member  since  1996 

Alabama  Municipal  Judges  Association  member  since  1985 

10.  OTHER  MEMBERSHIPS:  Ust  all  organizations  to  whicii  you  belong 
that  are  active  In  lobbying  before  public  bodies.  Please  list  all  other 
organizations  to  which  you  belong. 

I  am  not  aware  of  any  lobbying  efforts  of  the  following  entities. 

First  United  Methodist        1962  -  Present  Member  of  Administrative 

Church  of  Centre,  AL  Board  (1988  -  Present) 

PI  KAPPA  PHI  Fratemlty 
(National  College  Social 
Fratemlty  -  Alumnus) 

•  Rotary  International 
(Centre,  Alabama  Chapter) 
Cherokee  County  Substance  Abuse  Council 

Nettie  King  Brown  Clearing  House,  an  Alabama  Non-Profit  Corporation 
(Coordinating  entity  for  charitable  giving  and   distribution  of  gifts 
to  needy  &  poor  adults  &  children  in  Cherokee  County) 

Zamora  Shrine  Temple  (Shriners) 

Humane  Society  of  the  United  States 

Alabama  Cattlemen's  Association 

*         The  Club,  Inc. 

(Social  &  Dinner  Club) 

SportsFirst  Health  Center 

*         By-Laws  of  The  Club,  Inc.  prohibit  discrimination  based  on 
race,  creed,  color,  religion,  gender  or  national  origin,  etc. 


222 


11.  COURT  ADMISSION:  List  all  courts  In  which  you  have  been  admitted 
to  practice,  with  dates  of  admission  and  lapses,  if  any  such 
memberships  lapsed.  Please  explain  the  reason  for  any  lapse  of 
membership.  Give  the  same  information  for  administrative  bodies 
which  require  special  admission  to  practice. 

COURT  NAME  ADMISSION  DATE 

All  State  Courts  in  Alabama  September  28, 1978 

The  United  States  District  September  14,  1979 

Court  for  the  Northem 
District  of  Alabama 

United  States  Court  of  September  21 ,  1992 

Appeals  for  the  Eleventh 

Circuit 

Supreme  Court  of  the  October  21 ,  1996 

United  States  of  America 

I  have  never  had  any  lapse  of  membership  in  any  of  said  Courts. 

12.  PUBLISHED  WRITINGS.  Ust  the  titles,  publishers,  and  dates  of  books, 
articles,  reports,  or  other  published  material  you  have  written  or  edited. 
Please  supply  one  copy  of  ail  published  material  not  readily  available 
to  the  Committee.  Also,  please  supply  a  copy  of  all  speeches  by  you 
on  Issues  involving  constitutional  law  or  legal  policy.  If  there  were 
press  reports  about  the  speech,  and  they  are  readily  available  to  you, 
please  supply  them. 

I  have  no  published  writings. 

With  regard  to  speeches,  during  my  tenure  as  a  Municipal  Judge  and  as 
a  member  of  the  Alabama  Ethics  Commission,  I  have  delivered  more  than 
one  hundred  (100)  speeches  to  various  community  organizations  and  civic 
clubs  and  groups  on  a  wide  variety  of  topics,  including  the  law  and  public 
service.  Since  April,  1992,  the  primary  subject  matter  of  my  public 
speeches  has  related  to  the  Alabama  Ethics  Commission.     I  speak 


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extemporaneously  rather  than  from  prepared  texts  and  to  my  knowledge 
none  of  my  speeches  have  been  published  or  reported  on  in  detail. 

13.  HEALTH:  What  is  the  present  state  of  your  health?  List  date  of  your 
last  physical  examination. 

The  state  of  my  health  is  good.  I  had  a  complete  physical  examination  on 
June  19,  1998. 

14.  JUDICIAL  OFFICE:  State  (chronologically)  any  judicial  office  you  have 
held,  whether  such  position  was  elected  or  appointed,  and  a 
description  of  the  Jurisdiction  of  each  such  court. 

I  presently  serve  as  Municipal  Judge  for  the  City  of  Centre,  Alabama.  I 
have  served  in  such  capacity  since  1983  and  am  currently  serving  my 
eighth  consecutive  two  year  term  in  such  position  by  virtue  of  appointment 
by  the  N/layor  and  City  Council  of  the  City  of  Centre,  Alabama,  which  is  the 
County  seat  for  Cherokee  County,  Alabama.  This  is  a  part-time  judicial 
position.  The  court  has  exclusive  jurisdiction  of  all  prosecutions  for  the 
breach  of  the  ordinances  and  laws  of  the  municipality  and  concurrent 
jurisdiction  with  the  State  District  Court,  of  all  acts  constituting  violations  of 
State  law  committed  within  the  police  jurisdiction  of  the  municipality  which 
may  be  prosecuted  as  breaches  of  municipal  ordinances.  The  Municipal 
Court  has  numerous  responsibilities  and  powers  including  the  following: 
(a)  the  authority  to  assess  fines  and  court  costs;  (b)  the  authority  to  remit 
fines,  costs  and  fees;  (c)  the  authority  to  impose  sentences  of 
incarceration  and/or  grant  probation;  (d)  the  authority  to  establish  work 
release  programs;  (e)  the  authority  to  suspend  driving  privileges;  (f)  the 
authority  to  require  attendance  in  educationeil,  corrective  or  rehabilitative 
programs;  and,  (g)  the  authority  to  order  hearings  to  determine  the 
competency  of  a  defendant  to  stand  trial.  A  Municipal  Judge  may 
administer  oaths,  compel  the  attendance  of  witnesses  and  compel  the 
production  of  books  and  papers,  adjudge  parties  in  contempt  of  Court  and 
assess  punishment  therefor.  A  Municipal  Judge  has  the  power  co- 
extensive with  the  power  of  the  State  District  Court  to  issue  writs,  search 
warrants  and  other  process  and  to  approve  and  declare  bonds  forfeited. 

15.  Citations:  If  you  are  or  have  been  a  judge,  provide:  (1)  citations  for 
the  ten  most  significant  opinions  you  have  written;     (2)     a  short 


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summary  of  and  citations  for  all  appellate  opinions  where  your 
decisions  were  reversed  or  where  your  Judgment  was  affirmed  with 
significant  criticism  of  your  substantive  or  procedural  rulings;  and  (3) 
citations  for  significant  opinions  on  federal  or  state  constitutional 
Issues,  together  with  the  citation  to  appellate  court  rulings  on  such 
opinions.  If  any  of  the  opinions  listed  were  not  officially  reported, 
please  provide  copies  of  the  opinions. 

Municipal  Courts  do  not  maintain  transcripts  of  proceedings,  but  rather 
docket  sheets  of  case  dispositions.  It  is  not  the  practice  of  the  Municipal 
Court  to  render  written  opinions  since  it  is  not  a  traditional  court  of  record. 
An  appeal  from  the  Municipal  Court  is  taken  to  the  State  Circuit  Court  and 
the  proceedings  are  de  novo. 

16.  Public  Offices:  State  (chronologically)  any  public  offices  you  have 
held,  other  than  judicial  offices,  Including  the  terms  of  service  and 
whether  such  positions  were  elected  or  appointed.  State 
(chronologically)  any  unsuccessful  candidacies  for  elective  public 
office. 

In  1984  or  1985,  I  was  appointed  to  the  Cherokee  County  Democratic 
Executive  Committee  and  I  was  elected  to  such  position  thereafter  and 
continued  such  service  until  1998. 

In  1990,  I  was  a  successful  candidate  for  member  of  the  State  Democratic 
Executive  Committee  for  a  four  year  term.  This  was  an  elected  position 
voted  on  by  the  voters  of  Cherokee,  DeKalb  (portion)  and  Cleburne 
Counties  in  Alabama. 

In  1990,  I  ran  for  the  position  of  delegate  to  the  Democratic  National 
Convention,  but  lost. 

In  April  1992,  I  was  appointed  by  the  Governor,  U.  Governor  and  Speaker 
of  the  House  of  Representatives  of  Alabama  and  confirmed  by  the  Alabemria 
State  Senate  to  the  position  of  member  of  the  Alabama  Ethics  Commission. 
My  term  expired  in  September,  1996,  but  I  continued  to  serve  until 
February  1 998  when  my  successor  was  appointed  and  confirmed.  I  served 
as  Chairman  from  1995-96. 


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On  August  2,  1993  Alabama  Attorney  General  Jimmy  Evans  appointed  me 
to  the  position  of  Deputy  Attorney  General  of  the  State  of  Alabama  to 
handle  certain  eminent  domain,  condemnation  and  highway  matters  for  the 
State  of  Alabama.  On  February  10,  1995  Alabama  Attorney  General  Jeff 
Sessions  reappointed  me  to  such  position  and  the  appointment  continues 
to  the  present  date. 

17.      Legal  Career: 

a.        Describe  chronologically  your  law  practice  and  experience  after  graduatic 
from  law  school  Including: 

1.  whether  you  served  as  clerk  to  a  judge,  and  If  so,  the  name  of 
the  judge,  the  court,  and  the  dates  of  the  period  you  were  a  clerk: 

I  did  not  serve  as  a  Clerk  to  any  Judge. 

2.  whether  you  practiced  alone,  and  If  so,  the  addresses  and  dates. 

I  commenced  the  practice  of  law  as  a  sole  practitioner  on  September  28, 
1978  and  continued  such  practice  until  early  1983  when  I  formed  a  general 
partnership  for  the  practice  of  law  with  Robert  D.  McWhorter,  Jr.,  under  the 
name  of  Buttram  &  McWhorter. 

My  practice  of  law  has  always  been  in  Centre,  Alabama.  My  solo  practice 
was  located  at  180  East  Main  Street,  Centre,  Aleibama  35960  from 
September  28,  1978  until  March  1,  1983,  when  I  moved  to  the  location  of 
my  present  practice  at  440  West  Main  Street,  Centre,  Alabama  35960. 

3.  the  dates,  names  and  addresses  of  law  firms  or  offices, 
companies  or  government  agencies  with  which  you  have  been 
connected,  and  the  nature  of  your  connection  with  each: 

During  my  practice  of  law,  I  have  also  been  a  member  of  the  part-time 
faculty  at  Gadsden  State  Community  College,  Post  Office  Box  227,  George 
Wallace  Drive,  Gadsden,  Alabama  35999.  I  was  an  instructor  in  the 
paralegal  program  for  the  Winter  and  Spring  Quarters  (January  2,  1991 
through  June  6,  1991).  I  taught  Civil  Law  and  Procedure  and  a  course 
titled  Alabama  Legal  Systems. 

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The  partnership  of  Buttram  &  McWhorter,  located  at  440  West  Main  Street, 
Centre,  Alabama  35960,  continued  until  July  1,  1991,  at  which  time  Mr. 
McWhorter  moved  his  residence  and  practice  of  law  to  Gadsden,  Alabama. 
Upon  the  departure  of  Mr.  McWhorter,  I  continued  my  practice  of  law  as 
a  sole  proprietorship  with  William  M.  Hawkins,  who  had  been  an  associate 
attorney  of  the  Buttram  &  McWhorter  partnership  since  the  fall  of  1989.  I 
added  a  second  associate  to  my  firm  in  the  fall  of  1991,  namely,  J.  Kevin 
Grimes.  Mr.  Hawkins  and  Mr.  Grimes  continue  to  practice  as  associates 
with  my  firm.  Mr.  Grimes  will  assume  the  office  of  Circuit  Judge  for  the 
Ninth  Judicial  Circuit  of  Alabama  in  January,  1999.  I  incorporated  my  firm 
in  September,  1996  under  the  name  of  H.  Dean  Buttram,  Jr.  &  Associates, 
P.C. 

From  April  20,  1992  until  February  1998,  i  served  as  a  member  of  the 
Alabama  State  Ethics  Commission  ("Commission").  I  was  appointed  to  the 
Commission  jointly  by  the  Republican  Governor,  Democratic  Lt.  Governor 
and  Democratic  Speaker  of  the  House  of  Representatives  of  the  Alabama 
legislature.  Pursuant  to  Alabama  statute  all  three  state  officials  had  to 
concur  in  said  appointment.  Further,  pursuant  to  statute,  my  appointment 
was  unanimously  confirmed  by  the  Alabama  State  Senate.  From  October 
1, 1995  until  September  30, 1996, 1  served  as  Chairman  of  the  five  member 
Commission.  The  Commission  issues  advisory  opinions,  conducts 
investigations,  holds  hearings  and  rules  on  complaints  concerning  the 
activities  of  state  and  local  public  officials,  public  employees,  members  of 
public  boards  and  agencies  (whether  elected  or  appointed)  throughout  the 
State  of  Alabama.  During  my  tenure  on  the  Commission,  I  served  as 
Chairman  of  the  subcommittee  on  Ethics  Reform  Legislation. 

As  part  of  my  law  practice,  I  have  represented  the  Cherokee  County 
Commission  since  1982;  the  City  of  Sand  Rock  since  1988;  the  City  of 
Cedar  Bluff  since  1984,  the  Cherokee  County  Water  Authority  since  1992 
and  Cherokee  Electric  Cooperative  since  1979. 

1.  What  has  been  the  general  character  of  your  law  practice, 
dividing  It  into  periods  with  dates  if  Its  character  has  changed  over  the 
years? 

My  practice  of  law  is  and  always  has  been  diverse  and  general  in  both  civil 
and  criminal  law.    The  general  practice  of  law  such  as  mine  requires  a 

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broad  and  working  knowledge  in  all  but  the  most  specialized  areas.  I  pride 
myself  in  accepting  a  wide  variety  of  cases  without  regard  to  the  station  in 
life  or  financial  status  of  the  client. 

2.  Describe  your  typical  former  clients,  and  mention  the  areas,  if 
any,  in  which  you  have  specialized. 

I  practice  in  the  areas  of  both  civil  and  criminal  law  and  represent  indigent 
clients  through  Court  appointment,  as  well  as,  retained  clients.  I  also 
represent  more  fortunate  clients  and  governmental  entities.  I  have 
represented  the  Cherokee  County  Commission  (the  governing  body  of 
Cherokee  County,  Alabama)  continuously  since  January,  1982.  I  have 
continuously  served  as  City  Attorney  for  the  Town  of  Cedar  Bluff,  AL  for  the 
past  eleven  years  and  as  City  Attorney  for  the  Town  of  Sand  Rock,  AL  for 
the  past  ten  years.  I  have  represented  Cherokee  Electric  Cooperative 
since  1980  and  the  Cherokee  County  Water  Authority  since  1991.  My 
clients  include  individuals  from  all  walks  of  life,  the  battered  spouse,  the 
-  abused  or  neglected  child,  the  indigent  defendant,  the  personal  injury 
victim,  the  worker  injured  on  the  job  and  the  family  of  the  victim  of  a 
wrongful  death.  I  also  have  a  very  successful  family  law  and  real  estate 
practice  and  I  assist  the  Courts  frequently  as  a  guardian-ad-iitem  when 
needed  for  incapacitated  or  minor  parties  before  the  Court.  My  practice 
includes  the  handling  of  all  types  of  social  security  claims.  Suffice  it  to  say, 
my  practice  touches  eilmost  every  area  of  the  law  Eind  I  feel  this  would  be 
a  tremendous  asset  to  a  federal  judge  at  the  District  Court  level. 

c.  1.  Did  you  appear  In  court  frequently,  occasionally,  or  not  at  all? 
If  the  frequency  of  your  appearances  in  court  varied,  describe  each 
such  variance,  giving  dates. 

I  have  always  appeared  in  Court  regularly  during  my  twenty  years  of 
practice. 

2.  What  percentage  of  these  appearances  was  In: 

(a)  federal  courts. 

(b)  state  courts  of  record. 

(c)  other  courts. 


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federal  courts  -       1.5% 
state  courts  -  90% 

other  courts  -  8.5% 

3.  What  percentage  of  your  litigation  was: 

1)  civil. 

2)  criminal. 

civil  -  80% 
criminal  -  20% 

4.  State  the  number  of  cases  you  tried  to  verdict  or  judgment 
(rather  than  settled)  In  courts  of  record,  Indicating  whether  you  were 
sole  counsel,  chief  counsel,  or  associate  counsel. 

During  my  twenty  year  legal  career  I  would  estimate  I  have  tried  in  excess 
of  three  hundred  cases  to  verdict  or  judgment  in  courts  of  record.  I  would 
estimate  that  I  was  sole  counsel  in  two-thirds  of  the  cases,  chief  counsel 
in  one-sixth  of  them  and  co-counsel  in  the  rest. 

5.  What  percentage  of  these  trials  was: 

(a)  Jury. 

(b)  Non-jury. 

Jury  -  15% 
Non-jury  -  85% 

18.  Litigation:  Describe  ten  of  the  most  significant  litigated  matters  which 
you  personally  handled.  Give  the  citations,  If  the  cases  were  reported, 
and  the  doclcet  number  and  date  If  unreported.  Give  a  capsule 
summary  of  the  substance  of  each  case.  Identify  the  party  or  parties 
whom  you  represented;  describe  In  detail  the  nature  of  your 
participation  in  the  litigation  and  the  final  disposition  of  the  case.  Also 
state  as  to  each  case: 

(a)  the  dates  of  the  trial  period  or  periods: 

(b)  the  name  of  the  court  and  the  name  of  the  judge  or 

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judges  before  whom  the  case  was  litigated,  and 
(c)      the  Individual   name,  addresses  and  telephone 
numbers  of  co-counsel  and  of  principal  counsel  for 
each  of  the  other  parties. 


CASE  NUMBER  ONE 

COLE  V.  GARRETT.  BARNETT  v.  WYNN 

United  States  District  Court  for  the  Northern  District  of  Alabama,  Eastern  Division 

Case  Number  CV-81-P-0131-M 

This  action,  which  was  originally  brought  in  1981,  was  revived  on  May  15,  1989,  as  a 
class  action  on  behalf  of  inmates  of  the  Cherokee  County  Jail.  It  challenged,  among 
other  things,  the  conditions  and  treatment  of  inmates  of  the  Jail  and  sought  declaratory 
and  injunctive  relief.  This  case  involved  multifarious  issues  regarding  the  Constitution 
of  the  United  States,  including  the  legal  rights  of  inmates  not  to  be  confined  in  a  manner 
which  violates  their  due  process  rights  guaranteed  under  the  Constitution  and  their  right 
not  to  be  subjected  to  cruel  and  unusual  punishment  as  guaranteed  by  the  Eighth 
Amendment.  I  acted  as  co-counsel  with  my  associate,  Robert  D.  McWhorter,  from  the 
commencement  of  said  action  until  July  1991.  In  July  1991,  I  becsime  sole  local 
counsel,  representing  the  interest  of  the  Cherokee  County  Commission  and  Sheriff  Roy 
Wynn.  After  years  of  conferences,  negotiations,  pleu'  Jings,  discovery,  hearings  eind  court 
appearances  and  monitoring  of  like  cases,  the  case  was  disposed  of  by  entry  of  a 
decree  by  the  presiding  judge  of  the  United  States  District  Court  for  the  Northern  District 
of  Alabama,  Eastem  Division,  the  Honorable  Sam  C.  Pointer,  Jr.,  on  November  1 1 ,  1993. 
As  a  result  of  this  action,  and  the  negotiation  of  the  parties,  a  multimillion  dollar  detention 
facility  has  been  constructed  in  the  three  years  since  the  entry  of  said  decree.  I 
continued  my  representation  of  said  clients  after  the  entry  of  said  decree  regarding  the 
legal  issues  related  to  the  design  and  construction  of  the  proposed  jail  through  the  date 
of  its  opening  in  Summer  1996. 

Representation:   May  1989  until  November  1993 

Co-Counsel:  Opposing  Counsel: 

Robert  D.  McWhorter,  Jr.,  Esq.  Richard  J.  Stockham,  III,  Esq. 

Post  Office  Box  287  Suite  825,  2001  Park  Place  North 

Gadsden,  Al  35999  Birmingham,  A)  35203 

(256)  546-1656  (256)  252-2889 

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Daryl  Masters,  Esq.  Judge  Sam  C.  Pointer,  Jr. 

Post  Office  Box  238  United  States  District  Court 

Montgomery,  Alabama  361 01  for  the  Northern  District  of  Alabama 
(334)  262-1850 


CASE  NUMBER  TWO 

SUSAN  KAY  ALEXANDER,  et  als.  v  CALHOUN  ASPHALT  COMPANY.  CITY  OF  CENTRE. 

ALABAMA,  et  als 

Cherokee  County  Circuit  Case  Number  CV-87-72 

GEORGE   PATRICK   BROOM,   as  father  of  TRACY  DAWN   BROOM,   deceased,  v. 

CALHOUN  ASPHALT  COMPANY.  CITY  OF  CENTRE.  ALABAMA,  et  als 

Cherokee  County  Circuit  Court  Case  Number  CV-87-73 

These  cases  involved  the  death  of  one  child  and  the  permanent  injury  of  another 
resulting  from  an  unavoidable  collision  between  the  three-wheeled  all  terrain  vehicle 
upon  which  they  were  riding  and  an  improperiy-placed  and  constructed  road  barricade. 
One  of  these  cases  involved  a  complaint  for  the  wrongful  death  of  Tracy  Dawn  Broom. 
The  other  case  was  based  upon  a  claim  for  damages  resulting  fi-om  the  permginent 
personal  injuries,  including  irreversible  brain  damage,  of  Susan  Kay  Alexander.  The  case 
involved  a  tragic  circumsteince  regarding  these  two  young  giris'  lives.  An  asphalt 
corr.pany  had  placed  a  steel  pipe  barricade  across  a  public  sueet  leadii  <g  into  the  City's 
industrial  park.  The  barricade  was  painted  the  same  color  as  the  gravel  road  that  served 
a  visual  backdrop  to  the  pipe.  The  death  of  the  Broom  child  and  the  permanent  injuries 
to  the  Alexander  child  were  the  result  of  the  full  impact  of  the  barricade  upon  their 
bodies  as  they  attempted  to  drive  the  ATV  along  the  gravel  road.  The  case  was  settled 
moments  after  the  striking  and  seating  of  the  jury.  The  wrongfiji  death  settlement  award 
in  favor  of  the  Brooms  was  in  the  amount  of  $137,500.00.  Susan  Kay  Alexander's  case 
was  settled  for  an  amount  of  $381,000.00.  These  were  the  largest  settlements  in 
Cherokee  County  history  in  cases  of  this  type.  In  this  case,  I  weis  chief-counsel,  along 
with  my  associate  Bob  McWhorter,  and  I  performed  extensive  research,  prepared 
witnesses  for  trial,  struck  the  jury,  prepared  the  arguments,  and  played  a  lead  role  in  the 
settlement  negotiations  of  these  two  cases  over  a  three  year  period.  Attorney  James  S. 
Hubbard  was  associated  as  a  consultant  during  the  trial  preparation. 

Representation:   August  1987  thru  July  1990. 

Cherokee  County  Circuit  Court 

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David  A.  Rains,  Judge 


Co-Counsel:    Robert  D.  McWhorter,  Jr.,  Esq.  Opposing  Counsel:    Al  Shumaker,  Esq. 

Post  Office  Box  287  270  East  Main  Street 

Gadsden,  Al  35999  Centre,  Al  35960 

(256)  546-1656  (256)  927-5581 

Jack  W.  TortDert,  Esq. 
1 024  Forrest  Avenue 
Gadsden,  Al  35901 
(256)  547-7551 

CASE  NUMBER  THREE 

FRIENDS  OF  BALL  BASIN.  INC.  v.  ALABAMA  WASTE  DISPOSAL  SYSTEMS.  LLC,  and 

CHEROKEE  COUNTY  COMMISSION 

Cherokee  County  Circuit  Case  Number  CV-97-25 

The  Cherokee  County  Commission  negotiated  a  landfill  services  contract  with  Alabama 
Waste  Disposal  Systems,  LL.C.  v/hich  was  to  result  in  the  generation  of  several  hundred 
thousand  dollars  in  annual  revenue  for  the  County  due  to  the  placement  of  a  Subtitle  D 
sanitary  landfill  in  a  remote  portion  of  the  County.  In  addition,  all  residential  solid  waste 
gunerated  with.in  Cherokeo  County  would  be  acceptad  for  disposal  free  of  charge  at  said 
landfill.  Eighteen  months  later  and  only  a  few  months  from  the  scheduled  opening  of 
the  landfill,  a  non-profit  environmental  group  incorporated  in  order  to  file  litigation  to  void 
the  commission's  approval  of  the  landfill  site  and  the  contract.  This  case  has  significant 
local  health  and  sanitation  impact  as  well  as  dealing  with  some  intricate  legal  issues. 
Defendants  raised  several  issues,  including  what  standard  should  be  applied  to  an  attack 
of  a  county  commission's  actions,  who  has  standing  to  attack  commission's  acts,  the 
definitions  of  arbitrary,  capricious,  self-dealing  and  fraud  as  applied  to  a  county 
commission,  and  the  application  of  the  Alabama  non-claims  statute  to  a  request  for 
injunctive  relief.  After  considerable  oreil  argument  and  presentation  of  evidence  at  the 
hearing,  judgment  was  entered  in  favor  of  the  Cherokee  County  Commission  and  all 
Defendants  on  all  issues  on  July  3,  1997.  I  received  notice  of  appeal  to  the  Alabama 
Supreme  Court  by  the  plaintiff  on  August  14,  1997.  The  appeal  was  subsequently 
dismissed  in  1997.  My  role  in  this  case  included  extensive  research,  conferencing  with 
counsel  for  co-defendant  and  co-trial  counsel. 


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Representation:   June  1996  thru  November,  1997. 


Cherokee  County  Circuit  Court 
David  A.  Rains,  Judge 


Co-Counsel: 

J.  Kevin  Grimes,  Esq. 
Buttram  &  Assoc,  P.C. 
Post  Office  Drawer  603 
Centre,  Al  35960 
(256)  927-5764 

Co-Defendeint's  Counsel: 

C,  Ellis  Brazeal,  III 
Walston,  Stabler,  Wells, 
Anderson  and  Bains 
Post  Office  Box  830642 
Birmingham,  A)  35283 
(205)  250-9237 


Opposing  Counsel: 

Eric  Colley,  Esq. 
Post  Office  Box  1045 
Fort      Payne,      Al 
(256)  845-8101 


35967 


CASE  NUMBER  FOUR 

ERSKINE  MITCHELL  and  JOHNNY  MITCHELL  v.  NORTHRUP  KING  COMPANY  and 
ESTECH  CORPORATION.  Cherokee  County  Circuit  Court  Case  Number  CV-86-17 

Erskine  and  Johnny  Mitchell  were  father/son  dairy  feirmers  who  purchased  a  certain  type 
of  seed  for  growing  feed  for  cattle.  The  seed  was  mislabeled  and  therefore  did  not 
perform  as  advertised  and  presented  to  the  Mitchells.  This  situation  contributed  to  the 
financial  decline  and  eventual  banknjptcy  of  the  family  farm.  Action  was  brought  on 
behalf  of  the  consumer  against  Northmp  King  Company  and  Estech  Corporation  on 
products  liability  and  breach  of  warranty  theories.  The  case  was  tried  to  a  jury  resulting 
in  a  plaintiff's  verdict  in  the  amount  of  $80,000.00.  I,  along  with  co-counsel,  represented 
the  Mitchells.  I  was  the  lead  trial  counsel.  I  was  intimately  involved  in  the  preparation 
of  the  case  for  trial,  including  striking  of  the  jury,  examination  of  witnesses,  and  the 
preparation  and  presentation  of  arguments.   I  delivered  the  closing  argument. 


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Representation:  March,  1986  thru  June,  1988. 

Cherokee  County  Circuit  Court 
Hon.  Randall  L  Cole,  Judge 

Co-Counsel:    Robert  D.  McWhorter,  Jr.,  Esq.  Opposing  Counsel:  Jameslnzer,  III,  Esq. 

Post  Office  Box  287  Post  Office  Box  287 

Gadsden,  Al  35999  Gadsden,  Al  35999 

(256)  546-1656  (256)  546-1656 


CASE  NUMBER  FIVE 

STATE  OF  ALABAMA  v.  MILDRED  LANGLEY.  Cherokee  County  Circuit  Court  Case 
Number  CC-78-77. 

I  was  appointed  by  the  Court  to  represent  the  indigent  Defendant,  Mildred  Langley,  who 
was  charged  with  first  degree  murder  regarding  the  death  of  her  husband.  Ms.  Langley 
shot  her  husband  in  self  defense  following  severe  abuse  and  physical  beatings  by  the 
spouse  upon  her.  My  defense  of  Ms.  Langley  centered  upon  revealing  to  the  jury  that 
she  was  a  severely  battered  woman  and  that  the  death  of  her  husband  was  justified  on 
that  theory.  The  case  was  tried  to  a  jury  and  Ms.  Langley  was  convicted  of  the  lesser- 
included  offense  of  murder  in  the  second  degree  and  sentenced  to  ten  years  in  the  state 
penitentiary.  My  role  in  the  defense  of  Ms.  Langley  was  very  involved  as  I  counseled 
with  Ms.  Langley,  prepared  the  case  for  trial,  actively  participated  in  the  striking  of  a  jury, 
the  preparation  and  presentation  of  arguments,  and  examined  witnesses.  Further,  I 
prepared  and  handled  the  case  on  appeal  before  the  Alabama  Court  of  Criminal 
Appeals,   The  appeals  court  affirmed  the  lower  court  verdict. 

Representation:   November,  1978  thru  August,  1979. 

Cherokee  County  Circuit  Court 
Hon.  W.G.  Hawkins,  Judge 

Co-Counsel:   John  D.  Coggin,  Esq.  Opposing  Counsel:  A.  Richard  Igou,  Esq. 

1 04-D  Northwood  Drive  Post  Office  Box  71 7 

Centre,  Al  35960  Fort  Payne,  Al  35967 

(256)  927-9090  (256)  845-6686 


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Bert  Latham,  Esq. 
Asst.  Dist.  Attorney 
Courthouse  Annex 
Centre,  Al  35960 
(256)  927-5577 


CASE  NUMBER  SIX 

STATE  OF  ALABAMA  v.  CHARLES  H.  KNIGHT 
Cherokee  County  Circuit  Court  Case  Number  CC-83-01 1 

Charles  H.  Knight  was  charged  with  First  Degree  Murder  regarding  the  shooting  death 
of  an  intoxicated  trespasser,  namely,  Timmy  Ray  Hooper.  This  case  was  tried  to  a  jury 
and  resulted  in  a  verdict  of  acquittal  of  the  defendant.  The  case  involved  a  great  deal 
of  ballistic  and  technical  evidence.  This  case  was  significant  in  that  it  exonerated  a 
person  who  was  required  to  use  deadly  force,  to  protect  his  family  and  homestead.  I 
was  the  chief  counsel  in  the  defense  of  Mr.  Knight.  I  prepared  the  case  for  trisil,  actively 
participated  in  the  striking  of  a  jury,  prepared  and  presented  arguments,  and  examined 
witnesses  and  delivered  the  closing  Eirgument. 


Representation:   February  1983  thru  May  1983. 

Cherokee  County  Circuit  Court 
Hon.  Randall  L  Cole,  Judge 


Co-Counsel:    Robert  D.  McWhorter,  Jr.,  Esq. 
Post  Office  Box  287 
Gadsden,  Al  35999 
(256)  546-1656 


Opposing  Counsel:  A.  Richard  Igou,  Esq. 
Post  Office  Box  71 7 
Fort  Payne,  Al  35967 
(256)  845-6686 


Bert  Latham,  Esq. 
Asst.  Dist.  Attorney 
Courthouse  Annex 
Centre,  Al  35960 
(256)  927-5577 


18 


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CASE  NUMBER  SEVEN 


BAPTIST  MEDICAL  CENTER.  CHEROKEE  HOSPITAL  et  al.  v.  GRESHAM.  SMITH  AND 
PARTNERS,  a  partnership:  DUNN  CONSTRUCTION  COMPANY.  INC.  et  als 
Cherokee  County  Circuit  Court  Case  Number  CV-90-21 
Supreme  Court  of  Alabama  Case  No.  1911741 

Suit  was  filed  on  behalf  of  a  local  hospital  regarding  extensive  leaks  in  the  roof  system 
of  a  new  multi-miliion-doilar  facility.  The  case  was  pursued  on  breach  of  warranty,  and 
faulty  materials  and  construction  theories  against  the  contractor  as  well  as  breach  of 
contract  claims  against  the  architect.  The  case  involved  complex  litigation  conceming 
the  threshold  issue  of  mandatory  or  binding  arbitration  which  in  turn  involved  interstate 
commerce  and  therefore  the  application  of  the  Federal  Arbitration  Act  (FAA),  9  U.S.C. 
§1 ,  et  seq..  The  case  went  to  arbitration  v\nth  a  finding  for  the  Defendants.  Defendants 
then  filed  a  motion  to  dismiss  the  underlying  civil  action.  After  submission  of  briefs,  the 
trial  ccurt  granted  the  motion  to  dismiss.  Plaintiff  hospital  appealed  and  the  case  was 
affirmed  by  the  Alabama  Supreme  Court  without  opinion  during  the  October  term,  1992- 
1993.   I  represented  the  hospital  as  co-counsel  through  these  proceedings. 

Representation:  Local  counsel  for  BMC-Cherokee  from  1987  to  present, 
versus  Gresham,  et  als  Febmary  1990  thru  June  1993 

Co-Counsel:  Opposing  Counsel: 

Jasper  P.  Juliano,  Esq. 

Oscar  Price,  Esq.  Parsons,  Lee  &  Juliano,  P.O. 

Johnston.  Barton,  Proctor,  Land  Title  Building,  Suite  200 

Swedlaw,  and  Naff  600  North  20th  Street 

1 1 00  Park  Place  Tower  Birmingham,  AI  35203 

Birmingham,  Al  35203  (205)  326-6600 
(205)  322-0616 


CASE  NUMBER  EIGHT 

CHEROKEE  COUNTY  COMMISSION  v.  WASTE  AWAY.  INC. 
Cherokee  County  Circuit  Court  Case  Number  CV-94-56 

Action  for  declaratory  judgment  was  filed  on  the  behalf  of  the  Cherokee  County 
Commission  against  a  subsidiary  of  Waste  Management,  inc.  which  was  under  contract 

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for  provision  of  residential  solid  waste  disposal  pursuant  to  the  County's  mandatory 
garbage  pick  up  ordinance.  The  case  centered  upon  the  construction  of  the  contract 
provision  related  to  the  corporation's  right  to  a  price  increase  based  upon  circumstances 
beyond  its  control.  The  commission  challenged  Waste-Away's  proposed  residential 
garbage  pick-up  rate  increase  and  requested  injunctive  relief  to  protect  the  health, 
welfeire  end  safety  of  fifteen  thousand  county  residents  which  would  have  resulted  from 
the  adverse  environmental  impact  caused  by  the  cessation  of  the  solid  waste  disposal 
by  the  defendant.  The  case  was  ultimately  tried  before  Circuit  Judge  Randall  Cole  who 
disallowed  the  rate  increase  eind  compelled  the  defendant  to  continue  to  perform  under 
the  contract.  This  case  averted  an  unjust  rate  increase  upon  the  20,000  citizens 
throughout  Cherokee  County,  Alabama.  I  represented  the  Cherokee  County 
Commission  and  thereby  the  citizens  of  Cherokee  County  aganst  the  largest  solid  waste 
disposal  entity  in  the  United  States.  My  role  in  the  case  included  the  performance  of 
extensive  legal  research,  preparing  the  case  for  trial,  advising  and  supervising  eissociate 
attorneys  in  my  office,  and  acting  as  trial  co-counsel. 


Representation;  Cherokee  County  Commission  Attorney  from  January  1982  to  present, 
versus  Waste  Away,  Inc.  April  1994  thru  May  1995 


Cherokee  County  Circuit  Court 
Hon.  Randall  L  Cole,  Judge 


Co-Counsel:  Opposing  Counsel: 

William  M.  Hawkins,  Jr.,  Esq.  Jeimes  L  Priester,  Esq. 

Buttram  &  Assoc,  P.C.  1901  Sixth  Ave.  N. 

Post  Office  Drawer  603  2400  South  AmSouth/Harbert  Raza, 

Centre,  Al  35960  Birmingham,  Al  35203 

(256)  927-5764  (205)  254-1000 


CASE  NUMBER  NINE 

DENNIS  PEACE  v.  BAPTIST  MEDICAL  CENTER  CHEROKEE.  DR.  WILLIAM  TYNDALL 
et  als  Cherokee  County  Circuit  Court  Case  Number  CV-95-24 

As  attomey  for  Baptist  Medical  Center-Cherokee,  I  defended  an  action  brought  by 

20 


237 


Dennis  Peace  alleging  that  the  attending  emergency  physician  misdiagnosed  a  patient's 
condition  and  that  the  hospital  failed  to  timely  evaluate  and  perform  certain  laboratory 
tests.  Plaintiff  sought  five  million  dollars  in  damages.  The  case  involved  very  complex 
medical  issues  and  issues  involving  intricate  medical  equipment  and  the  use  thereof. 
The  case  commenced  in  March,  1995  and  involved  more  than  two  dozen  depositions 
and  every  other  type  of  discovery  permitted  by  the  Alabama  Rules  of  Civil  Procedure. 
The  case  required  expert  testimony  from  physicians  in  Alabama,  New  York  and  Florida, 
with  regard  to  standards  of  medical  care.  The  case  was  tried  to  a  jury  for  five  days 
between  April  13  to  April  18,  1998.  The  jury  returned  a  verdict  for  the  Defendants.  The 
Plaintiff  has  filed  a  motion  for  a  new  trial. 


Cherokee  County  Circuit  Court 
Randall  L  Cole,  Judge 


Representation:  March  1995  thru  present. 


Co-Counsel:  Opposing  Counsel: 

Robert  L  Williams,  Esq.  W.  Lee  Pittman,  Esq. 

21 17  Second  Avenue  Suite  1 100  Park  Place  Tower 

Birmingham,  A!  35203  2001  Park  Place  North 

(205)  328-4100  Birmingham,  Al  35203 

(205)  322-8880 


CASE  NUMBER  TEN 

BYRON  KEITH  DEAN  v.  KELLER  LADDER  COMPANY.  INC..  et  als 

United  States  District  Court  for  the  Northem  District  of  Alabama,  Eastern  Division 

Case  Number  CV-84-PT-1 055-E 

My  associate  and  I,  together  with  James  S.  Hubbard,  originally  filed  this  action  in  State 
Court  (Circuit  Court  of  Etowah  County,  Alabama)  but  the  action  was  removed  to  Federal 
Court  after  the  only  Alabama  resident  Defendant  was  dismissed.   Briefs  and  extensive 

-21 


238 


arguments  were  presented  on  the  issue  of  remanding  the  case  to  State  Court.  However, 
the  Federal  Court  retained  jurisdiction. 

This  case  dealt  with  a  claim  regarding  defective  manufacturing  and  design  of  a  product, 
in  the  nature  of  a  ladder.  Plaintiff  was  seriously  injured  when  the  ladder  failed  under 
normal  use.  Plaintiff's  injuries,  including  loss  of  sight  in  one  eye  as  well  as  broken  facial 
and  other  bones  resulted  from  his  fall.  Plaintiff  alleged  improper  warning  labels  and 
defective  design.  This  products  liability  case  involved  complicated  design, 
manufacturing,  engineering  and  warranty  issues  and  pitted  the  expert  witnesses  of  the 
Defendant  against  the  expert  witness  of  the  Raintiff.  The  case  was  tried  to  a  jury  In  the 
United  States  District  Court  For  The  Northern  District  Of  Alabama  a  verdict  was  rendered 
for  the  defendants. 


Representation:  April  1983  thru  December  1986. 


U.  S.  District  Judge  Robert  Propst 


Co-Counsel:  Opposing  Counsel: 

Robert  D.  McWhorter,  Jr.  Steve  P.  Brunson,  Esq. 

Post  Office  Box  287 

Gadsden,  A)  35999  Post  Office  Box  388 

(256)  546-1656  Gadsden,  Al  35902 

(256)  546-9205 


Co-Counsel:  Opposing  Counsel: 

James  S.  Hubbard,  Esq.  James  C.  Stivender,  Esq. 

612  AmSouth  Bank  Building  Post  Office  Box  287 

Anniston,  AL  36201  Gadsden,  AL  35999 

(256)  237-1308  (256)  546-1656 


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239 


The  following  are  the  namee,  addressee  and  telephone  numbers  of  attorneys  who 
have  had  recent  contact  with  me  concerning  cases  and  court  appearances,  viz 


J.  Gusty  Yearout,  Esq. 
Yearout,  Myers  &  Traylor 
Suite  500 

800  Shades  Creek  Parkway 
Birmingham,  AL  35209 
(205)  414-8163 

Michael  L  Roberts,  Esq. 
Cusimano,  Keener  &  Roberts 
153  South  9th  Street 
Gadsden,  AL  35901 
(256)  543-0400 


J.  Kevin  Grimes,  Esq.  (Supervised  Associate) 
Post  Office  Drawer  603 
Centre,  Alabama  35960 
(256)  927-5160 


Rodney  Lawson  Ward,  Esq. 
827  Chestnut  Street 
Gadsden,  AL  35901 
(256)  547-2800 

Charles  E.  Mauney,  Esq. 
Mauney  &  Igou 
Post  Office  Box  717 
Fort  Payne,  AL  35967 
(256)  845-6686 

Circuit  Judge  David  A.  Rains 
DeKaib  County  Courthouse 
300  Grand  Avenue  South 
Fort  Payne,  AL  35967 
(256)  845-8545 


Roy  McCord,  Esq. 
Post  Office  Box  45 
Gadsden,  AL  35902 
(256)  546-0448 


William  P.  Traylor,  Esq. 
Yearout,  Myers  &  Traylor 
Suite  500 

800  Shades  Creek  Parkway 
Birmingham,  AL  35209 
(256)  322-9164 

Walter  Lee  Pittman,  Esq. 
Pittman,  Hooks,  Dutton  &  Mollis 
2001  Park  Place,  North 
Birminghm,  AL  35203 
(256)  322-8889 

Bert  Latham,  Esq. 
Courthouse  Annex 
Centre,  AL  35960 
(256)  926-5577 

Circuit  Judge  Randall  L  Cole 
DeKaib  County  Courthouse 
300  Grand  Ave.  South 
Fort  Payne,  AL  35967 
(256)  845-8540 

Al  Shumaker,  Esq. 
270  East  Main  Street 
Centre,  Alabama  35960 
(256)  927-5580 


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19.  Legal  Activities:  Describe  the  most  significant  legal  activities  you  have 
pursued,  Including  significant  litigation  which  did  not  progress  to  trial 
or  legal  matters  that  did  not  involve  litigation.  Describe  the  nature  of 
your  participation  in  this  question,  please  omit  any  Information 
protected  by  the  attorney-client  prh^iiege  (unless  the  privilege  has  been 
waived). 

I  am  President  of  the  Cherokee  County  Bar  Association.  We  are  presently 
considering  various  projects  including  public  service  information  programs 
covering  frequently  asked  questions  in  the  law.  Members  regularly  provide 
speakers  for  local  civic  clubs,  etc. 


II.    FINANCIAL  DATA  AND  CONFLICT  OF  i^f^EREST 

List  sources,  amounts  and  dates  of  ail  anticipated  receipts  from 
deferred  income  arrangements,  stock,  options,  uncompleted  contracts 
and  other  future  benefits  which  you  expect  to  derive  from  previous 
business  relationships,  professional  services,  firm  memberships, 
former  employers,  clients,  or  customers.  Please  describe  the 
arrangements  you  have  made  to  be  compensated  in  the  future  for  any 
financial  or  business  Interest. 

I  have  regular  IRA's  with  Merrill-Lynch  and  A.  G.  Edwards  &  Sons  and 

SEP/IRA's  with  Regions  Bank,  Berger  Funds  CGM  Mutual  Fund  and 
Fidelity  Investments.  I  have  insurance  annuities  with  Metropolitan 
insurance  Company  and  Fidelity  Investments.  I  would  expect  to  receive 
income  from  these  sources  upon  my  retirement. 

I  have  one  long  term  fee  agreement  with  an  individual  client  related  to  my 
representation  of  said  client  in  his  sale  of  an  invention.  Under  the  fee 
eirrangement,  1  receive  a  legal  fee  (which  has  been  reduced  to  a  sum 
certain)  over  a  period  of  years  as  the  fomner  client  receives  income  from 
his  invention. 

I  am  associated  with  two  other  law  firms  in  pending  personal  injury  or 
wrongful  death  cases.  An  award  to  the  Plaintiff  in  these  cases  would  result 
in  compensation  to  me.  Any  such  compensation  or  fee  due  me  would  be 
paid  in  accordance  with  appropriate  mles  or  regulations  applicable  to  such 

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transactions.  Further,  any  future  contingent  fees  payable  to  me  as  a  result 
of  cases  my  law  firm  initiated  would  be  paid  by  the  successor  attomey  in 
accordance  with  such  rules  and  regulations. 

My  personal  real  estates  interests  which  1  have  with  other  Individuals  would 
likewise  be  managed  or  handled  in  accordance  with  applicable  rules  £uid 
standards.  I  would  expect  no  conflict  from  such  relationship. 

Explain  how  you  will  resolve  any  potential  conflict  of  Interest,  including 
the  procedure  you  will  follow  in  determining  these  areas  of  concern, 
identify  the  categories  of  litigation  and  financial  arrangements  that  are 
likely  to  present  potential  conflects-of-interest  during  your  Initial 
service  In  the  position  to  which  you  have  been  nominated. 

The  only  potential  conflict  of  interest  I  could  foresee  would  be  owning 
stock  in  a  publicly  traded  corporation  which  might  have  litigation  before  my 
court.  To  avoid  such  potential  conflict  I  would  have  any  such  stocks  sold 
or  managed  by  a  blind  trust.  I  would  of  course  utilize  any  action  necessary 
to  comply  with  the  guidelines  of  the  Code  of  Judicial  Conduct. 

Do  you  have  any  plans,  commitments,  or  agreements  to  pursue  outside 
employment,  with  or  without  compensation,  during  your  service  with 
the  court?  If  so,  explain. 

No. 

List  sources  and  amounts  of  ali  income  received  during  the  calendar 
year  preceding  your  nomination  and  for  the  current  calendar  year, 
including  all  salaries,  fees,  dividends.  Interest,  gifts,  rents,  royalties, 
patents,  honoraria,  and  other  items  exceeding  $500  or  more. 

See  attached  financial  statement 


5.        Please  complete  the  attached  financial  net  worth  statements  In  detail. 
(Add  schedules  as  called  for). 

The  requested  financial  net  worth  statement  and  related  schedules  are 
attached  hereto. 

25 


242 


6.  Have  you  ever  held  a  position  or  played  a  role  In  a  political  campaign? 
If  so,  please  Identify  the  particulars  of  the  campaign,  Including  the 
candidate,  dates  of  the  campaign,  your  title  and  responsibilities. 

In  1986,  I  worked  as  a  coordinator  in  the  gubernatorial  campaign  of  then 
iJ.  Governor  William  J.  Baxley  of  Alabama.  I  continued  my  full  time  law 
practice  during  said  campagn. 

In  1987.  United  States  Senator  Joseph  R.  Biden,  Jr.,  announced  his 
candidacy  for  the  1988  Democratic  nomination  for  President  of  the  United 
States,   I  served  on  Senator  Biden's  steering  committee  for  Alabama. 

In  1990,  I  served  on  the  State  steering  committee  for  the  re-election 
campaign  of  United  States  Senator  Howell  Heflin  of  Alabama  and  I  served 
as  coordinator  of  the  campaign  in  Cherokee  County. 


III.   GENERAL 

An  ethical  consideration  under  Canon  2  of  the  American  Bar 
Association's  Code  of  Professional  Responsibility  calls  for  'every 
lawyer,  regardless  of  professional  prominence  or  professional 
workload,  to  find  some  time  to  participate  in  serving  the 
disadvantaged.'  Describe  what  you  have  done  to  fulfill  these 
responsibilities,  listing  specific  Instances  and  the  amount  of  time 
devoted  to  each. 

I  provide  legal  services  and  counsel  to  the  Cherokee  County  Rescue 
Squad,  Cherokee  County  Association  of  Volunteer  Fire  Departments  (13 
fire  departments)  and  to  the  Cherokee  County  E-911  Board,  Inc.,  free  and 
without  charge. 

I  serve  on  the  Board  of  Directors  of  the  Nettie  King  Brown  Cleeuing  House, 
Inc.,  a  non-profit  corporation  for  the  coordination  of  charitable  giving  and 
distribution  to  poor  and  needy  children  and  adults  in  Cherokee  County. 
One  very  successful  program  is  the  toys  for  needy  children  project  at 
Christmas  each  year.  I  provided  free  legal  services  in  the  incorporation  of 
said  entity  and  my  firm  acts  as  legal  counsel  to  said  corporation  without 
charge. 

26 


948 


I  lotjiilnilv  i)i)tV/t<1d  ffoa  \o\ja\  aaii/IOat  In  rtiaillAltla,  unri  |)rOfll,  nMo  MM  I 
I  I II  III  I  lUI  Illy  i«  III  III  ji  I  nil  lb  All  aMaMI|)lQ  Wilt  ill  I  jia  laiaiil  llaa  loynl  imiiimmoI 
til  Ilia  llmt  I  liillnil  Malliiiillol  (  liiiM  It  iif  (  ai  ilia  In  lib  i  null  ml  itaunl|al|nit« 
niltl  il|t]|illlati  lajniilliig  i  nitolitii  tli  in  nl  Ilia  (  lltinli  Alinlliai  ONniit|i|a 
lalnlao  III  Uaa  lajnl  oniv/li  aa  In  Ilia  Im  1 1||  ii  iialli  Ml  i  if  Ilia  <  |ia|ii|<aa  I  iitlllly 
Yiiiillio  ( ijilo  'ii  irilmll  I  onjiia  I  <  ii  ID  yanio  I  |iiiivlilai|  i  iliiilnal  ilafanoa  In 
lnillU(>lll  I  llanlo  I  IlitW  |i|iivlila  Iwn  noQiii  Inlaa  fill  am  Ii  |a|iiac)aiilal|i  hi  I 
linva  alaii  |iiiivlilai|  fiaa  lajnl  mlv/li  a  In  lininliailo  nf  |iiiiii  ami  liii  llijanl 
loalijaitla  i  il  (  ItaiuKaa  <  iiniily  ilnilny  my  Injnl  i  aiaai 

I  onritalilai  my  oaiv/li  a  nil  Ilia  Mala  I  lltli  a  <  nniiitlaolnn  In  liu  prn  lifilin 
all  11  a  I  waei  liy  ntalnla  gn^'ilail  •  niii|ianiiallnli  wllli  It  I  (ll)t  Itnl  ai>iia|il  fni 
Iwn  tlilnlb  III  my  Innnia 

I,  Iho  Aiiiaili  nil  tlni  Aa«o<  lullon'a  (NMiiiiiaiilaiy  In  lla  <  mlo  nf  .liifllrlal 

(IniiiliH  I  alnlaa  llinl  II  la  liin|>|iin|)ilala  fni  a  |iiilua  In  linlil  iiiaiii|)aialil|i 
III  niiy  ni(jniil/nllnii  IhnI  liivltllniialy  <ilai  iliiilnaloa  nii  Ilia  Itnala  nf  ini'M, 
■aM,  oi  lallulnii  I  )n  ynii  <  iiiiaillly  liolnii(j,  oi  Iimvo  ynii  lialniiija)!,  |o 
any     niuniil/nllnn     wlil<  li     illai  iliiiliialaa  liiinnuli     •lliioi     tniiiial 

lliainliBialil|i  iai|iiliaiiiaiila  ni  Ilia  |Ma<ll<al  liii|ilaiiiaiilMllnii  of 
lliaiiihaialil|i  |inlli  laa'/  If  an,  Hal,  wllli  tlalaa  of  iii«iiilt«ialil|t  WIimI  ynii 
linva  <lnna  In  liy  In  <  linii^o  lliono  |inl|(  loa'/ 

No, 
3,         I*  lh«r«  «  ••Uiollon  oommlaalon  In  your  |urUill<  llnn  lo  raDrmiinand 

l;nii<iliinlaa  fni  iinillliiallnii  In  Ilia  latlainl  <  niiila/  If  mu^  illil  II 
r*><  niiiiiiaiiil  yniii  iiniiiliinllnii?  I'lonaa  (|aa<  illia  yniii  aK|»oiloiii  o  In  llio 
•iillia  |ii<ll<  Inl  aolot  llnn  |»ini  aaa,  finiii  Itaylnnliiu  In  aiitl  (ln<  liiilinu  Ilia 
(.III  niiiainn)  aa  wlil<  li  lad  In  yniii  nniiilnnllnn  ami  Inlaivlaw  In  wlili  li 
you  pnillt  Ipalad) 

Yao  A  onlii  nmiiilllaa  nf  llin  Alnlmmn  l)amni'talli  |  |ini  iillvo  ( .nmmlllao 
WHO  fnimnd  In  lUU/  In  liilaiy/law  |inlniillnl  i  niidldnlno  fni  Ilia  lliiaa 
VaiiHII'laa  III  Alnliniiin  I  won  liilaivlawad  liy  Ilia  aiilii  niiimlllaa  ami  waa 
Olia  nf  llin  ln|i  fniii  |iaianiiei  lai  niiiiiiaiii|ai|  fni  Ilia  Iwn  |inall|nitb  In  Ilia 
Nnilliain  I  )|c]li|i  I  nf  Alalinmn  In  Ilia  and,  I  will  linvo  haan  Inlait/lawad  liy 
ia|iiaaaiilallvaa  nf  Ilia  liialli  a  I  la|inilmaiil,  ';tala  |)amniial|i  'lalai  llnn 
(<niMliilllaa,  mamliaio  nf  (.niiijiaaa,  and  Ilia  ';nnnlri   Indli  laiy  <  .niiiiiilllaa 


244 


Has  anyone  involved  in  thie  process  of  selecting  you  as  a  Judicial 
nominee  discussed  withi  you  any  specific  case,  legal  issue  or  question 
In  a  manner  that  could  reasonably  be  Interpreted  as  asidng  how  you 
would  rule  on  such  case,  issue  or  question?  if  so,  please  explain  fully. 

No. 

Please  discuss  your  views  on  the  following  criticism  Involving  "judicial 
activism.' 

The  role  of  the  Federal  judiciary  within  the  Federal  government,  and 
within  society  generally,  has  l>ecome  the  subject  of  Increasing 
controversy  In  recent  years.  It  has  become  the  target  of  both  popular 
and  academic  criticism  that  alleges  that  the  Judicial  branch  has 
usurped  many  of  the  prerogatives  of  other  branches  and  levels  of 
government. 

Some  of  the  characteristics  of  this  'judicial  activism'  have  been  said 
to  Include: 

a.  A  tendency  by  the  judiciary  toward  problem-solution  rather  than 
grievance-resolution: 

b.  A  tendency  by  the  Judiciary  to  employ  the  Individual  plaintiff  as 
a  vehicle  for  the  Imposition  of  far-reaching  orders  extending  to  broad 
classes  of  individuals: 

c.  A  tendency  by  the  Judiciary  to  impose  broad  affirmative  duties 
upon  the  governments  and  society; 

d.  A  tendency  by  the  judiciary  toward  loosening  jurisdictional 
requirements  such  as  standing  and  ripeness;  and 

e.  A  tendency  by  the  judiciary  to  Impose  itself  upon  other 
institutions  in  the  manner  of  an  administrator  with  continuing  oversight 
responsibilities. 


28 


245 


A  federal  judge  must  fully  understand  and  appreciate  the  separation  of  powers  as 
prescribed  by  the  United  States  Constitution.  He  or  she  should  make  certain  that  any 
action  filed  in  the  United  States  District  Court  meets  the  jurisdictional  requirements  and 
that  the  Plaintiff  has  standing  to  bring  the  action. 


A  federal  trial  court  judge  should  apply  the  law  as  written  by  Congress  and  as  may  be 
interpreted  by  the  United  States  Supreme  Court  amd  the  United  States  Court  of  Appeals, 
ever  mindful  of  the  United  States  Constitution. 


29 


246 


AgrypftY^y 


I. 


^  Horace  Dean  Buttram,  Jr. -  do   ewear  that 

thQ   InCoEinatlon  pxrovtded   In  thXs   atauenent:  la,    t:o  Uie  boet  o£  my 
knowledge,    true  and  accurate. 


(DATE) 


<;aptanhor    1     IQQB 


^CTARY) 


J?  ^.. •••^/^■ 

VX  'r ...-l'*. V 


S30>^> 


247 


«j?-/«. 


FINANCIAL    DISCLOSURE    REPORT 
FOR  CALENDAR  YEAR  1997 


Ptport  Kequlrtd  by  Iht  Eihtej 
Rtform  Acl  ofl9S9.  Pub  L  No. 
101-194.  NovtmberiO.  1989 
(iUSC  App  4.  I0III2) 


1.  PcrMD  Reporting  (l<i»;mii«,/icj/,i>M<WfeW«o/; 

Buttram,  Horace  Dean,  Jr. 

2.  Court  or  OriiDlzatioD 

U.   S.   District  Court.   Northern 
District  of  Alabama 

3.  Dale  of  Report 

8/31/98 

4.  Tllle        (Article  UI  judges  Indicate  active  or  senior  status: 
magistrate  Ju^s  liuliaiu  fiill-  or  pan-lime) 

U.  S.  District  Judge  Nominee 

5.       ReportTypc  (check  appropriate  type) 

t.  Reporting  Period 

1/1/97  thru  8/31/98 

IniUil      Annuil     Final 

7.  ChimlKn  or  Ofllct  Addren 

Post  Office  Drawer  603 
440  West  Main  Street 
Centre,   Alabama     35960 

S.       Oo  the  baiii  of  Ike  iDformatfoo  coouioed  in  Ihii  Report  and 
any  modiflcationi  pertaining  thereto,  it  ii,  in  my  opinion, 
in  compliance  with  applicable  laws  and  regulations. 

Revlewlni  OOlcer                                                                    Dale 

IMPOKrANTN<yrES:  The  instructions  iuxompanylrtg  this  form  miist  be  followed.  Complete  all  parts, 
checking  the  NONE  box  for  each  part  where  you  have  no  reportable  information.  Sign  on  last  page 

I.   POSITIONS.  (Reporting  individual  only;  see  pp  9-13  of  Instructions ) 


POSITION 
NONE  (No  reportable  positions.) 


President. 

Secretary  S  Director 

2 

Director 

3 

Director 

NAME   OF   ORGANIZATION/ENTITY 


H.  Dean  Buttram,  Jr.  t  Associates,  P.C. 


Nettie  King  Brown  Clearing  House 

Cherokee  County  Substance  Abuse  Council 


II.    AGREEMENTS.  (Reporting  tnJMJual  only:  see  pp  14- 1 60/ instructions) 


D 


NONE  (No  reportable  agrecrienis.) 


PARTIES   AND   TERMS 


1993 


1996 


1996  «  1998 


H.  Dean  Buttram,  Jr.,  Attorney        SEP/IRA's 

H.  Dean  Buttram,  Jr.  i  Associates,  P.C.     SEP/IRA 

Potential   contingent  fee  to  be  received  at  the  end  of 
— no  more  than  ten  cases  based  on  a  fixed  pprr.pntagp 

itigation  in 

III.    NON-INVESTMENT  INCOME.  (Reporting  mJtvUlual  and  spouse:  see  ppn-24  of  instructions) 
QAI£  SOURCE   AND   TYPE 


n 


NONE  (No  repofUbk  non-mvcstment  income.) 


1996 

2 

1996 

3 

1998 

4 

1997 

5 

1997 

City  of  Centre. 

Alabama  -  Salary  a: 

Municipal  Judge 

H.  Dean 

Buttram 

Jr. 

S  Associates, 

P.C.  -  Salary 

Net  Income  from  Law 

Practice  prior 

to  P.C.  formation 

City  of 

Centre, 

Alabama  -  Salary  as 

Municipal  Judge 

H.  Dean 

Buttram 

Jr. 

i  Associates, 

P.C.  -  Salary 

GROSS  INCOME 

(yours,  not  spouse's) 


9,380 


130,544 


220.838 
10.752 


268.130 


248 


FINANCIAL    DISCLOSURE    REPORT 
FOR  CALENDAR  YEAR  1997 


Report  JUquirtd  by  th£  Ethics 
Reform  Aci  0/I9S9.  Pub  L  No 
101-194.  NmtmberJO.  1989 
(SU.S.C.APP  4.  101-112) 


1.  ?tnoafitt<imat(Lcuinaite.Jlrsl.midtat  Mlial) 

}.  Coan  or  Or(>nlz<liaa 

3.  Dale  ol  Report 

4.  Tide        (Article  UJ  judges  iitdtcau  active  or  senior  status: 
magutratt  jujges  indtcaufull-  or  part-time) 

S.       RcportTypc  (check  appropriate  type) 
Nominition.    Dale 
Initial       Aitnual      Filial 

(.  Reportiat  Period 

7.  ChinbcnorOfliccAddna 

S.       Ob  the  bails  of  tJle  iafornatloo  cootaio«l  la  this  Report  aod 
aay  nodiflcatfoDi  pcrulBiDC  ibereto,  II  Is.  Id  my  optoloo. 
la  eoaipllaace  wtlh  applicable  lawi  aad  retiOaBoaa. 

"       IMPORTANT  NOTES:  TTie  msOvctions  accompanying  tfiis  form  rmisi  be  foUm^'  Complete  aJI  pam 
checking  the  NONE  box  for  each  part  where  you  have  no  reportable  irtformanon.  Sign  on  last  page- . , 

I.  POSITIONS.  (Reporting  individual  only:  seepp  9-13  of  Instructions.) 

POSITION  NAME  OF  ORGANIZATION/ENTITY 


D 


NONE  (No  reportable  positioos.) 


n.    AGREEMENTS.  (Reporting  miiyulual  only:  see  pp  14-16  of  Instructions ) 

DATE  PARTIES  AMD  TERMS 


D 


NONE  (No  reponable  agreements  ) 


III.    NON-INVESTMENT  INCOME.  (Reporting  Imllvuiualisnd  spouse:  xe  pp.  n-Uo/lnstrualoits.) 
DATE  SOURCE    AND   TYPE 


n 


NONE  (No  irponable  I 
1/1-8/31,    1998     City  of  Centre,  Al  -  Salary  as  Municipal  Juilge 


1998 


nRO.qS    INCOME 
(youn,  not  spouse's) 


7,000 


1/1-8/31,  1998  H.  Dean  Buttram,  Jr.  &  Associates,  P.C.  -  Salary 


(S)  City  of  Gadsden  Board  of  Education  -  Salary 

(S)  Gadsden  Regional  Medical  Center  -  Speech  Therapy  Fees 


(S)  Al  Teachers  Retirement  -  Beneficiary's  Pension 


158.000 


249 


FINANCIAL  DISCLOSURE  REPORT 


Nim  of  Pcnoa  R«pania| 

H.    Dean  Buttram,    Jr. 


August    31,    IS 


Vn.  Page  1  INVESTMENTS  and  TRUSTS  -  income,  value,  transactions  (inchuks  imos.  o/ 

spouse  and  dependent  children.  See  pp-  36-54  of  Instructions.) 
(a) 


'  ■^OncliMfiMmi5t«iseo):"-;^Wa"  ;  ,.^ 

Bidicnir.  whtrtcwpUccbht^owntrof^asulbjr. 
latnz  tht  parrtuJUticai  '(J)  ' for  jointo\mtnhip  of 

avm£nlupbyjptrj3€,'(DC)"forcrwn€nhl^by    -■, 

dtpuidtmiiiim:',    -;..    .        ?2j->.?i(-.,r ;,5. 

_■'."_,  .  tfioM  'W'qfUr lach  aiuir ,A^'..-.  i? 

^'^^iX  during-   -,'   > 
>  reporting  period. 

'£  irpoftlng;  period^ 

Y.'-'z^''."-^     -TViBaiactioiBdminEmKMtinR  period  ^.\;■cJfl'■■■■ -i*^^' 

jAmt.- 
^Codel 
X(A-H) 

^mtorr 
L'tat)   ,- 

rCOdet 

m 

;;  viUiBir' 
Maliod-' 

5,  tDCfger; 
« redemptioD) 

;  ,,^^;;'  -t  If  nol'aan|)<  Aran  diiclnsn^V.  'j%^.    1 

D>te: 
Monlb- 

'  Vilut 
CodtZ- 
-  (7-P) 

Codel 
(A-H) 

'j^''    toyerteUer    •"* 

NONE    (No  trponabic  income,  asseo, 
or  tnnuoions.) 

'   Berger   100 

B 

Div 

J 

T 

^  Berger   Growth   &    Income 

A 

Div 

J 

T 

Berger   Small   Company 

A 

Div 

J 

T 

*  CGM  Mutual 

A 

Div 

J 

T 

1 

'  CGM  Realty 

A 

Div 

J 

T 

i 

*  Janus  Worldwide 

A 

Div 

J 

T 

1 

! 

'  Kaufman 

A 

Div 

J 

T 

1 
1 

•  Linder  Dividend 

A 

Div 

J 

T 

1 

1 

»  Mutual   Qualified 

A 

Div 

J 

T 

I 

i 

"Davis  NY  Venture 

A 

Div 

J 

T 

1 

"Openheimer  MSIG 

A 

Div 

J 

T 

'^Putnam  New  Op 

A 

Div 

J 

T 

'^Robertson-Stephens  V  &  G 

B 

Div 

J 

T 

'^Selected  American  Shares 

A 

Div 

J 

T 

"So-Gen  International 

A 

Div 

J 

T 

"t.   Rowe  Price   Sci   &  Tech 

A 

Div 

J 

T 

"Von  Wagoner  Mid   Cap 

A 

Div 

J 

T 

"Von  Wagoner  Micro  Cap 

A 

Div 

J 

T 

i;    InronwWitaCoda:  A-Jl.OMortea        ■  ;^S1,001-£C500:  '4    -  ;c>«M0M5.O0O;                D-J3,001J1S,000                E-SI5,00J-M0,000 
(St«CoLBl.D4)       fi^J.OOl^SlOO.OOO  ':  O-ll«>.00n$1.000,00O     Hl-$l,000,001-$3.000.000    H2-More  tbin  $3,000,000 

1.     ViboCixler.            Ml5,(l06orlm         ..  (t-Jl5.04l-t50.060           l>j56.Ml- ilOi.OOO'           M-iliOMl-iUtl.dOb                        ^.^'     -.       . 
(S«CoLa,D3)      N-SiiO,001-SSOO,000   ■O-SSOk.OOMI.OOO.OOOT  PI-S1.000,001-jJ.OOO,000     P2f<5,0«l.001-I2i.000.000                  ^^;         c 
■      .^-  ,S '--,.,       P3-J23,b00.001-Ji0.000,000     .^.:  >-'-iTr^F*^*>reaiii$5^^             -                                                   .      (.l.         ' 

3     VilueMetliaa^Aler(;HAppfiluL-         ;     ,  k-Con  <ral  alMaoDly)    S-AsKunai-      ■              'IK:Bli/M«i1cet                                    ^.         - 
(SmCoLQ)            O-ioSinliic         —  V-OUw              •           W^^illimled:   " 

250 


FINANCIAL  DISCLOSURE  REPORT 


H.  Dean  BuCtram,  Jr. 


August  31,  1998 


Vn.  Pagel  INVESTMENTS  and  TRUSTS -income,  value,  transactions  f?...:;.^  <>»>»<>/ 

spouse  artd  dependent  chlldnn.  See  pp.  3&-54  of  Instructions.) 


(b) 

?='  ■■"■      Fl  btsaMoTorAkS^^^-Sfj 
.    '.         •    (tochuimg  irast  «S5«s);~o(t^''^ 

:rv>..',.  -;■•■•;■  .■•     .    -.-^•^-:  .--?-J#K*s:'av 

hvHrntt,  wftert  <wplicnbU.  oimtr-of^tfie^atsti  by_^- 
uri/ig  rAe  pamuhettcai  '(J)  'for joint  o-wnerihip  of 
rtporting  tndlviduaj  andipoiat,\  "(S)  'for  atparat^ 
avnawpbyspouse,  '(DQ'forowntnhtpoy.    > 
dtfendcm ditit. ^.  -  .  :_.-^  -\-     ;  ^ir^Ci:  1^ 

::'■'■"       'Fhoe'(X)'qfiereachaiuf^^~^-^l 
.,;^",  .  tsxjf^ from  prior  dixiosur*3'!^^:j:^ 

^i!^  Incomt:.*  -  ,; 
'Vrgwrting:  period  ^- 

%*.  Grtns  value...'> 
/:   ,  oeodoK-v 
frepoctii\g- periods 

^^^-^e^t.lWtttioojdnrtogiepMtmg^eriod'  ^^^'>^^ 

Codel 

Mr 

'Vilue- 
CodeZ 

'  v>joc  ■ 

Method 
'  Code3   ■ 
..Vim.: 

\  :.aam-,    , 
^zedea^tioa) 

'J^K^^^jl'lf  not'eicn^  brm  diidosm^^;^^  1 

Date: 
Momta- 

^m 

Codel 
.(A:H) 

IK:  ■       (5)-     -'Pv'^-' 
;;%«;'■,'   IdentitY  of    vJS^ 
'^^.- buyet/Kllef   -J?^- 
^  .(if  prime  lrin«nioD)_;;r 

-.fhn^ 

NONE    (No  reportable  incotne,  tssets. 
or  trmsactions.) 

'      Warburg  Plncas  G  &   I 

.  A 

Div 

J 

1 

^      Warburg  Pincas   Int 

A 

Div 

J 

T 

3      Amsouth  Bank  Conmon 

A 

Div 

J 

T 

*      AT&T  Common 

A 

Div 

K 

T 

'      Bell  Atlantic   Common 

A 

Div 

J 

T 

*      BellSouth  Common 

A 

Div 

K 

T 

'      Bristol-Myers-Squlbb 

A 

Div 

K 

T 

'      CIFRA  Common 

B 

Div 

K 

T 

'      Citizens  Utilities   Common 

A 

Div 

J 

T 

'"    Colorox  Common 

A 

Div 

K 

T 

"     Coca-Cola   Common 

A 

Div 

J 

T 

'2    Compass  Bank 

A 

Div 

J 

T 

"    Emerson  Electronics  Commo 

1      A 

Div 

J 

T 

'*    General  Electric  Conmon 

A 

Div 

J 

T 

"    Gillette   Coimnon 

A 

Div 

J 

T 

'*    IBM  Common 

A 

Div 

K 

T 

"    Intel  Common 

A 

Div 

K 

T 

'*    Lucent  Technology 

A 

Div 

J 

T 

1      iBGOnVQaiaQxla:  A-Sl.OOOorlof           "B-$1,001-S2J00    '       •. 042^01  .$5,000.    -•>    '    I><S.001.$15.000                &415.001450,000rf i 
(SeeColBl.tM)      |i<54^1i-$100,000  ^O-J100.00Tjl.000,000-HI<r.000.06l«.000,000    H>MorellnDSJ,000,0O0                     '-•      -      '•. 

1      Vtlue<\>ier            >-llJA*<»l««>            )i-Jl5.OOl-J50,OOO          L-MO.OOl- S100.000            M-J100.00l-$2iO,000                                     .;^ 

(SetCoLci.m)     N-cJo5oi-$5oo,ooo  -o-J5ob,ooi-$i,ooo,ooo;  pi-$i.ooq,ooi-B,ooo.ooo    P2-j5.o6o.ooi-ni,ooo.ooo  ,        ,,.,._ -iS^. 

~   •■              P3-CSA0IM0I.isO.0OO.000                                 M-^tottiBlSSO.OOO.OOO            -            .       ■      -^    "          .     -V      "^. 

'  \t^^'^^^±,.  ;..5^"^«-»^;:^:igS33r;^;eK  v,^^^-^               ^  ^^^m^ 

251 


FINANCIAL  DISCLOSURE  REPORT 


Nm«  cf  PwaoB  Ripcniaf 

H.  Dean  Buttram,  Jr. 


DMflfRjvan 

August   31,    1991; 


Vn.  Page  I  INVESTMENTS  and  TRUSTS  -  income,  value,  transactions  (i,Kb^,a«a.^ 

f    ■•moutt  and  dependent  ehtUhn  See  pp  36-54  of  Inxtmctions.) 


'.:.),■;  -  ;V-,  •-,  ,'A2;:v?-  ;-\.xl;  -.■,., 

i'  ■  -/     :/j  Desaiptldo  otAata  v*?;  ?-  t-;- 

(tocltKHng  tnot  «Beo)     ^l  •'        - 

b^lcait,  Mhtrt (wpHcaht^ owngr qfAt'as34t by- - 
itslKg  Om  parvuhtticaL'(J)'/orJolni  <n>nenhip  of 

omtnOp  ^^°»^  '00' for  ownmhip  iy    j 

r- . ,  -\{-^'- 

".'v  GfOMVilue-r.'.- 
J        aoidof  • 
>'  repoftlng.  periodr 

t>*r--^.i,«-,  1..;  -    .  ■    -       -,<t^' ,- •  .1,,-c.-.          -  ■■    -:.i:^':. 
'-■;'-■■■''.■    .  Ullijiclioiu  (trtij  itporttog  period- I;.  ■  i  .^  r" 

fAmt 
.Codel 
i(A-H) 

fTVpe" 

,    dnr,,  - 
itDlor 

3.'.::-'-/. 
Co<le2- 

ifa-f)-. 

,  ..CO,- 

Viloer 
Mctbod:! 

-  icaeoipuau) 

(  •;:J^   V  Ifiii^extn^p(lhMndbd(»B«.I  f^^^-|;' 

Moixb- 
0*r 

Codc2 
O-P) 

Codel 
(A-H) 

Identity  of  ■  J  , 
'  "  *  ■    buyo/feller     5  ' 

NONE    (No  reponible  incanx.  Kseli, 
or  mnuctioni.) 

'      McDonald's  Common 

A 

Dlv 

J 

T 

^      Merck  Common 

A 

Dlv 

K 

T 

^     Microsoft   Common 

A 

Dlv 

K 

T 

*     Monsanto  Common 

A 

Dlv 

J 

T 

'     Netscape  Common 

A 

Dlv 

J 

T 

1 
1 

'     Regions   Financial   Common 

A 

Dlv 

J 

T 

I 

1     SBC  Common 

A 

Dlv 

J 

T 

'     Solutla  Common 

A 

Dlv 

J 

T 

'     Southern  Company  Common 

A 

Dlv 

J 

T 

i 

'"    Southtrust   Corporation   Cm 

A 

Dlv 

J 

T 

1 

"    Sun  Microsystems  Common 

A 

Div 

J 

T 

i 

"    Wal-Mart   Common 

A 

Dlv 

K 

T 

13    H.    Dean  Buttram,    Jr.    i 
Associates.    P.C.    Common 

J 

U 

Municipal   Bonds 

A 

Int 

J 

T 

IS   Al  Judicial  Bldg  Auth 

7     \J     Jam    A,,^     1  /l/n« 

n 

Inh 

K 

T 

,j  Al   Bldg  Renovation   Fin  Aut 
7.2Z  due   9/1/02 

h 
A 

Int 

J 

T 

Al   State   Docks    7.5Z 
due   10/1/08 

A 

Int 

J 

T 

Al   State   Docks    7.6Z 
due    10/1/12 

B 

Int 

J 

T 

1      iBcomeXidaCoiier  A-SI.OOOocless             »-|1.00l-SU00              O42J4I4S.000                  I>-$3.00l -SI 5,000                E-S1S,OOI 430,000 
(SeeColBl,D4)       F-I54,001- $100,000       <MIO0,O0TS  1,000,000     Hl^,000.06l.J5,000,000    H2-Moit than S5,000,000 

i      VaiueCnier.            MlS.AOOorlas            IC-|li.aOl-tSO,Mt          L-tM.06l.ilM.M0            M-il  00,00  l-t2Si,d00 

(Sec  Col.  CI,  03)     N^Dio,ooi.S3oa(ioo    o-i5ol),ooi.si,ooo,ooo   pt-4i,oo&oomooo,ooo   i>2-ss!Mo.ooi.sii,ooo.aoo 

'  It^S^^'^t^SS^      -  e^S/"'— .-^>  ^^^SSS;      ■     ^-'''M.^ 

252 


FINANCIAL  DISCLOSURE  REPORT 


H.  Dean  ButCram,  Jr. 


Dtteof  RtpsR 
August   31,    1998 


Vn.  Page  1  INVESTMENTS  and  TRUSTS  -  income,  value,  transactions  nxch^i  •>«».  rf 

(  d  hpoust  and  depentkni  chitdrtn.  See  pp.  36-54  of  InsOvcHona.) 


~?.,  Onclu^g  trust  asjeB)-;j— ^- ;^^i 
hdiaxe,  wher€impttaibU,owner.o/theaistlby' 

0¥mtnlSp hyip<m3€c'(DQ1 /or crmxTihlphy    - 
depadaadtUH.:/  .     ...>:.    ,  , ;  :  ..J-Jj":  ;-  ;- 

/       .  Float 'CO' t^iereadiaistt^^i^^^^^.'l 
exempt fivm  prior  dljcIojun.^j:  r.  • -' 

Sirii ^  B.V.t,'-  . 
f.'iri  Income!    •  , 
;.  >.f--  during.   ■     .'- 
■.  reporting,  period 

r-  ■  ■    a- r^< .-;-,■ 

r  ■.  Gross  value- "; 
'  .      It  end  oU  -  -^v 
;  reporting:  periods 

:'-^^y  /■',..  .  1  TrBnsactJoos  during  reporting  period,  .^is^^^^^ 

fAna. 
;Codel 
v(A-H) 

-a) 

"".Jyr^c  ■• 
-  (J*.- 

,    div, 

^'rentor' 

M) 

;(i) 

VBlue 
Code2 
(I-P) 

Viio'e-  ■ 
Method 
'  Code3* 
.-(Q-w) 

redeiupuoo) 

;.';-'A'i^'^-_   If  art  ejtempt  fibm  disclmuieiT'?  ^^fT^  ] 

D»le: 
Montb- 

•vSie^ 

'Code2.- 

(J-P) 

Codel 
(A-H) 

'-    .     I(leifi|yor"'.fc> 
(if  pririle  muactioa) . 

NONE    (No  rqwrtabic  income,  tssea. 
or  tniuactions.) 

,      Bham-Jeff   Civic   Ctr   5.5Z 
due    9/1/14 

A 

Int 

J 

T 

J      Al    State   Docks   Zero   7.75Z 
due    10/1/10 

C 

Int 

K 

T 

3      Al   State   GO  Zero    7.4Z 
due    3/1/04 

C 

Int 

K 

T 

^      Al   State   Bd   of   Ed   6.0Z 
due    10/1/14 

A 

Int 

T 

J      Al  Water   Pollution  Auth 
6,25%  due   8/15/14 

A 

Int 

T 

J      Al  Water   Pollution  Auth 
6.5Z   due   8/15/07 

A 

Int 

T 

,      Auburn  U  Hsg   4  Dining 
5.25%  due   6/1/12 

A 

Int 

T 

,      Bham  Baptist   Med  Ctr    7.0% 
due    1/1/21 

B 

Int 

T 

,      Bham  Baptist  Med   Ctr   6.0% 
due    U/15/24 

A 

Int 

T 

Bham  Carraway  5.875% 
due    8/15/25 

A 

Int 

T 

II     Cherokee   County  Healthcari 
6.0%   due    7/1/08 

A 

Int 

T 

Ij    Cherokee   County  Water 
5.8%  due   5/7/17 

A 

int 

T 

,j    Chilton   County  Water 
5.5%  due   4/1/21 

A 

Int 

T 

1^    Columbia,    Al    IDB 
6.5%   due    9/1/23 

A 

Int 

T 

15    DCH  Healthcare   6.0% 
due    6/1/21 

A 

Int 

T 

It    Elmore   County  Water 
7Z   HiiP    7/1  /17 

R 

Tnt 

.1 

T 

17    Gadsden,   Al  Hospital 
6.91  di.P    7/1/07 

A 

.1 

T 

II    Hoover,    Al   BOE  6.625% 
rt„P    7/1/17 

A 

Int 

J 

T 

1      InconeniiiiOxies:  A-$1.000  or  lea             B-$1.001Ji500              C-R501.S5.0OO     ■            I>-J5.O01-$15.0O0                E-JI5,O0l-MO,0O0 
(SeeCoLBI,D4)      F-SSd,OOI-SIOO,000  '    a-S100,OOl7l.OOO,000     Hl-Sl,OOO,06l.S}.OOO,OOO    H2-Morc Hun XS.OOO.OOO 

I      V«llieCo<tel              Ml  $.000  Of  less              K-ll5.001-$50.000            L-S50.00I- 1100.000              M-$  100.001 -$250,000                                       „      . 
(See  Col.  CI.  D3)      N-Oi0.00I-S500,000      O-j500,001-J1.000,000     PI-J1.000,001-j4,000.000     R-J5.o6o,001-$jJ,000.000 
PJ-JM,000,001-$30.000,000                                   P4-More  ihm  $50,000,000 

3     Vilne  Method  Co*«-(>Appr»iML                  R-Coit  (rt.1  e««e  only)    S-A«eonieM                      T-Oih/MMtar 
(SeeCoLCa)       .     I^Bookniue            .    V-Otber                          W-EjUmMed        ■■   . 

253 


FINANCIAL  DISCLOSURE  REPORT 


U.    Dean  BuCtram,    Jr. 


Vugust    31,    1998 


Vn.  Page  1  INVESTMENTS  and  TRUSTS  -  income,  value,  transactions  (bKh^ih^o/ 

(  C  )poust  and  ckpemkru  chiUtxit.  Stt  pp.  36-34  o/haovaloiu) 


oofAssctj  3 


«--:H'-;'n'(inciu<aig.tnBt  tssca)vS^i. 

i. V  ?-  ■  ,■,•?:  .■.-> ■  :■  1  .v-.'  '■•.t. ; a^fe*^;r;.\' 

fi^K^fTim  KAcnr  appiicabU,  owner  o/lhe  aati  by, 
latng  t}» partnifUtiail  '^'/orJotTit  owmrjftip  c_ 
nptfling  tndMdual  andspou3»,-'(Si  'Jdr  ammiU^ 
omwrMp  by  moux..'(DQ: fat  tmnmhlp  ly    -^i 
dqxKkiaAwL    '.-   .  -^Jj     :  ;\ ^;^i-^^<t: i''^ 

■    :  flact  'PO'i^eacM  iia«^Sg>"55 


!,Co(lel' 


a  Vilooi"' 
;Metho<t3 
rOxML 


liuy,  Kil,  .^ 


Monthh 


rjiiasactioos  during  itportbig  piri6<15^§:^^5^g-7; 


3?ji^!'^.Vj  If  Dot^uempt  from  dlsclosmec^J^is^J^^ 


Codel 
,(A4p 


huver/ttller  '''*;X 


D 


Hoover,  Ai  BOE  6.2Z 
due  2/15/19 


Hoover,  Al  BOD  6.7Z 
due  2/1/16 


-Int. 


Huntsville  HCH  6.375Z 
due  6/1/22 


Lauderdale  County  6,0Z 
due  7/1/21 


Mobile  Water  &  Sewer 
5Z  due  1/1/09 


Mountain  Brook.  BOE 
Zero  due  2/1/13 


Russell  County  Water 
6.25Z  due  4/1/20 


UAB  Hospital  5.5Z 
due  10/1/10 


Unlv  of  South  Al  6.0Z 
due  11/15/09 


West  Jeff  IDS  6.05Z 
due  5/1/23    


Wllsonvllle,  Al  Pollution 
Control  5.5Z  due  1/1/24 


Wllsonvllle,  Al  IDB 
6.75Z  due  7/1/28 


Annuities 
Annuity  with  Fidelity 


Metropolitan  Life  Ins 
Annuity 


Cash  Value  Life  Insuranc 


Travelers  Life  Cash  Value 


16  Met  Life  Cash  Value 


"  New  England  Life  Cash  Valu 


Bank  Accounts 
'«  Union  State  Bank  Checking 


E-II5.00I-S50.00(r' 


T      Value  Cwles:  ]-SI3,000  or  ka  .  K-J15.001-J50.(IOO  L-S50,001-  JIOO.OOO^  M-S100.001-S23a.000 

(SceCoLCl.nS)      N-J2i0^1-S5O0,0O0.    OS50l),001-Sl,000;)00;  Pl««1.000,001-S4,000.000.    P2-S5^,001-S2j.000,000 
.        -      ■        .      T3-S25S5l>,001-£5O,000.000      ■-  '  P4-4itolttlimS5O.0O0.00Or..---  : 

1     ViiueJtfetM  Coder  ^AppciiaL  -  -  ^  R-Cott  (ml  oauwlyir^ 


(SeeCoLCZ) 


i:  (VAppnial, 


254 


FINANCIAL  DISCLOSURE  REPORT 


H.    Dean  Buttram,    Jr. 


August    31,    1998 


Vn.  Pagel  INVESTMENTS  and  TRUSTS -income,  value,  transactions  rz«:A«iu(te»«^ 

/  f  )    spotiS€  and  dependeni  childrtn.  See  pp  36-54  o/lnitntctions.) 


-      ; -!  Dcsohitioii  of  AXKtl   ;?vj»>~    ", 
-  ^  (IncludiDg trust  issets)   -.    ^* 

indicate,  wha^  (wpticabU.oimer  <rftkeea3etby_ 
using  the  partnlnetical  '(J)' far  joott  OTtnenhlp  of 
nporftnr  iTvJMduaJ aitajpotiM,  '(S)'JorxKmtt» 
ovntnlup  by  moust,  '(DC)' for  ownmhipiy      < 

:  Ftace'pQ'qfttreachasML',,'!^'''    .'^_ 
eumptfiompriordifcJosun.'  -*  * 

v;i:,,    b:  V.v;;. 

/..^'  Incofoe     V.-. 
:'    '   during 
•^reporting  period 

• .  Qroa  vtluc-  L, 
n  end  of  — 
,  rtpoftinc  period-' 

Tnmictiorudiiring'tepoitint  period'  '  3;cjJ5S?^^ 

iAmt 
:Codel 
(A-H) 

..   0) 

■  Type' 
'if- 

-  itnt  or.- 
tat) 

■ 

Viloe- 
■Code2: 
O-F) 

■  Vdoe- 

Method. 

^.Codol' 

■'(Q-W)^ 

-vTyp;'';- 

V'vJ  ^  IfDc<c3ttmptfiomdbcJ(giire::.''^^'^^'J 

Mootb- 

;v2ie. 

C:odel 
(A-H) 

^:M::.^:im^ 

NONE     {No  reportlMe  income,  tssctl. 
or  mnsacuoTU-) 

1   Attorney's   office   i   lot 
UPKf    Main,    rpnrrp,    Al 

None 

M 

W 

i 

211    Acre    Farm,    Lookout 
Mountain,    Al 

A 

rents 

N 

W 

A      1/2    interest    in    162   acr< 
on  Lookout  Mountain 

s 
None 

N 

W 

^  A   1/2   interest   in  3.14  acr< 
commercial   real   estate 

None! 

L 

W 

i 

Centre,    Al 

1/3    interest    lot.    Centre 

None  1 

K 

W 

i 

j   1/3   interest    in   18  acres 
Centre,    Al 

None  1 

M 

U 

1 

,   Real   Estate   Mortgage 
Garris   8.0Z   due    12/1/02 

A       1  Int 

J 

T                              1 

1 
i 

1    (S)    IRA  Merrill   Lynch  Cust 

I 
B        i  Div 

J 

H 

9    (S)    Jefferson   County 

Sewer    Rev    Bond    5.651    9/1/Of 

1 
A       '  Int 

J 

T 

i 

10  (S)Retirement    System  of   Al 
403-B 

B       '  Int 

J 

T 

1 

II      Bank  Accounts 

Regions   Bank  -  CD 

B        i  Int 

K 

T 

' 

Farmers   &  Merchants-  SVG 

A     1  Int 

J 

T 

* 

Union  State  Bank  -  CD 

A        Int 

J 

T 

! 

1 

1 

i 

! 

1      Intome/OmiCoda:  A-SLOOOocksl              B-SI.00I-$2J00             OCS0I-S3.000                   D-S  3. 00  IS  IS. 000                 E-SI3,O0l-t50,0OO 
(S«Col.Bl,D4)       F-M6.001-J100.000        0-J  100.001^1 ,000.000     m-$l,0OO.06l-$5.OOO.OOO     H>Moir  thai  $5,000,000 

2      ViJueCodcs:             J-1 15,000  or  len             K-SI5.001-S50.000           L-S50.001-SI00.0OO             M-SI  00,00 1-S250.000 

(Sec  Col.  CI,  D3)       N-S2i0.001-J500.000      O-J50l).001-Jl,000.000     Pl-41,000,001-jJ,000.000     P2-J5,o60,001-J2i.000.000 
P3-J25.000,001-$50.000.000                                      P4-More  Sin  JJO.OOO.OOO 

3     Vilue  Method  Codes:  (VAppniial                    R-Cost  (red  ett«e  only)    S-Aoessmeu                       T-CuhMskct 
(SeeCoia)            l>Bookviliie                V-Oiber                         w-Eaiiuied 

255 


FINANCIAL  DISCLOSURE  REPORT 


H.  Dean  Buttram,  Jr. 


August  31,  1998 


Vn.  Page  1  INVESTMENTS  and  TRUSTS  -  income,  value,  transactions  nnch^,o,o»o/ 

(g)    spouM  and  depemieni  childrtfL  Set  pp.  36-54  of  Instructtora.) 


■^  DesaftitloaofAjjai   -if -i;  ■•';•; 
•:.  (faicluffingtnjst  assets)  ^.^.iV.    *, 

.■       ■;                                  -•                    ■•-.          -     '■''.'if'-   •. 

Im^ft^*^  iihtrt  imptlcabU,  ovmr  o/tJm  asul  by  • 
latng  Om  partnthttlcal  '(J)  'Jorjotnt  omttnhip  of 

0imml5p  by  mouu.  "(DQ'/or  mmtr^tp  }ry    -. 
.  flact  'CQ' (^ tadraattt;' 1^    ■ 

V  iv:  ^  Bi^r  •  ■■ 

..,£  Income-.-  .... 
„^'^:  during,  -     : 
•  leponina.  period 

r-      .-;.i-,;tJ^:-- 

-.  Qrossvilue:^-, 
r    .  BeodoL-^--. 
^  reporting,  period.. 

'AmL: 
Code) 
,(A-H) 

"9     ■ 

fee. 

dre,    . 

Code2 
(J-P) 

■'  Viloe., 
Method, 
'Code3: 
■-:(Q-W) 

^  ledenptiao) 

f.i^^i^VoMaaafiltmmiiMdoimc    f-'^.%i\ 

Daer 
Month- 

i-vSle^ 
'.Code2t. 

--a-p) 

Codcl 
(A-H) 

■     <:  -  Identity  or    ',.■; 

-•    :      buyer/Ktlei   '    .^  > 
-'  .(if prime  mntadioil) 

NONE    (No  reportible  uicomc  tsscts. 
oi  o»iB«clions ) 

1        IRA  -  A.    G.    Edwards   Custo 

Jian 

Int 

L 

T 

U.    S.    Treasury   Zero  Coupo 

1  D 

notes 

Washington  Mutual   Fund 

A 

Div 

J 

T 

3       McDonald's   Common   Stock 

A 

Div 

J 

T 

1 

<       Wal-Mart   Common   Stock 

A 

Div 

J 

T 

i 

5       FT  DJIA  Target   5   Trust 
Series    228 

A 

Div 

J 

T 

i 

J       Berger  Mutual   Fund 
Custodian   IRA 

A 

Div 

J 

T 

1 

J       CGM  Mutual   Fund 
Custodian   IRA 

A 

Div 

J 

T 

I 
i 

,       Fidelity   Investment   Cust 
IRA  -   Fidelity  Mutual   Fun 

d  A 

Div 

J 

T 

i 

,       H.    DEAN    BUTTRAM,    JR  PC   SE 

p 

Int 

J 

T 

j 

U.    S.    Treasury   Zeros 

A 

,g     Davis    Financial   Mutual 
Fund 

A      IdIv 

J 

T 

i 

,,      Davis   NY  Venture  Mutual 
Fund 

A 

Div 

J 

T 

,j      Fidelity  Latin  Am  Mutual 
Fund 

A 

Div 

J 

T 

,3     Fidelity   Select   Financial 
Mutual   Fund 

A 

Div 

J 

T 

1^     Fidelity   Select   Regional 
Banks  Mutual   Fund 

A 

Div 

J 

T 

,j     Fidelity   Select   Home 
Finance  Mutual   Fund 

A 

Div 

J 

T 

,j     Fidelity  Select   Electroni 
Mutual   Fund 

A 

Div 

J 

T 

P     Seligman  Com  &    Info 
Mutual   Fund 

A 

Div 

J 

T 

II     Templeton  Latin  Am 
Mutual   Fund 

A 

Div 

J 

T 

(S«CoLBl.D4)      F-«4,001-J100.000 

0-JI 

bo.O01-Sl,00O,00O     HI-Sl,OOO.obl-SS,000.000    K2-t>ioretluii'S3,000,000 

2      VilueCcxter            J-SlS.OOOorlas            K-J13,00I-SS0.000          L-SS0,001-SI00.000            M-S100,001-$250^000 
(Sec  CoL  CI,  D3)       N-SUa,OOI-S50q,000      OSSOb.OOl -SI, 000,000     PI-SI,OOa,OOI-S5,DOO,000     F2-<S,OMI,001-S2i,000,000 

P3-n5,00O,O01-ii0,OOO,0O0                              P^-Min  tin  jso.oooiooo        •'            ■    .               •                '     •■ 

3     Value  Method  Coder  (>Appnisd                   R-Cost  (lol  cstue  only)    S-As*e<snnt       '       .       TK^nh/MiAetr ,                                     ,'      - 
(SeeCol.C2)            iSfloScvWue          •      V-Other                   "    W-Estteattd                                                                  •                   '' 

256 


FINANCIAL  DISCLOSURE  REPORT 


H.    Dean   Buttram,    Jr. 


DMcof  Rcpon 
iugust    31,    1998 


Vn.  Page  1  INVESTMENTS  and  TRUSTS  -  income,  value,  transactions  onchuk.  o^  o/ 


(h) 


Spouse  and  dependem  children.  Set  pp-  36-54  of  Instructions.) 


(including  tmst  assets)    ^^e/.-.^    ,r 

Indtcau.  whire  (wpllcabU,  owner  ofliiioiut  by 
ujing  the  pare/ahcticai  "(J)' for  Joint  ownership  of 
reporting  tndtvidual  and  jpotue,  •  '(S)  '/or  xepiirail 
ownersiap  byntouse.  '(DC)' for  ownmhipby    % 

,  ,  .^'  :    .  Place  '00' qflir  each  assets.  ^^  /     :i 
exempt  from  prittrtHecioiure.  ■"■■ 

r-vX"  Income    -^v 
,'-j-'  during-    - 
^reporting  period, 

.•^.  Gitm  valur.- ,;. 
f  ,. ■  aletjdofi  -s,= 
'^^  repotting;  period^ 

'.,-\^''  f-     Traiisactioiis  during  reporting  period ',.;ry  •^:''_ 

fAm. 
.Codel 

-■;<?)•: 
'■  .Type--' 

'    int.)  ' 

^'value: 
"Coder 
-(MO- 

r Valoe- 

Method; 

^  C6d*3^ 

V(Q-W)^ 

:  :  CI),/,: 

mergo^;"- 

.   j.v'-   ':,_,  li'nototctnptfrDindisdosme--v".;*.,^^^.| 

:  (2) 
Dale: 

Monlb- 
Dty 

vSie 
a>de2- 
(J-P) 

Codel 
(A4J) 

IdenSybC    jL>^ 
■f  ■'■-■■-  buyei/seUCT     ^:t  j 

NONE     (No  (rportable  income,  assets. 
or  transactions.) 

JK  CUST^ 

H.  DEAN  BUTTRAM,   JR.,   PC, 

SEP 

■  REGIC 

MS   6A 

3DIAN 

'       Am  Home   Products   Common 

A 

Div 

J 

T 

Clorox  Co   Coiranon   Stock 

A 

Div 

J 

T 

i 

Pfizer   Inc.    Coiranon 

A 

Div 

J 

T 

1 

*       Templeton  Russia   Fd 

A 

Div 

J 

T 

1 
1 

'       Warner   Lamber   Co   Cotranon 

A 

Div 

J 

T 

6       H.    DEAN   BUTTRAM,    JR,    SEP/ 

IRA  - 

REGION 

S    BAN 

;  CUSTO 

)IAN 

u.    b.    ireasurv   z,eros 

D 

int 

L 

T 

7       AIM  Constellation   Fund 

A 

Div 

J 

T 

,       AIM  WeingartenFund 

A 

Div 

J 

T 

9       Davis   NY   Venture 

A 

Div 

J 

T 

10     Fidelity  Contrafund 

A 

Div 

K 

T 

11      Fidelity  Magellan 

A 

Div 

J 

T 

12      Fidelity   Select   Health  Ca 

re   A 

Div 

J 

T 

»      Fidelity   Select   Paper 

A 

Div 

J 

T 

i 

1^     Fidelity   Select 
Telecoimnun  lea  t  ions 

A 

Div 

J 

T 

Ij     Fidelity   Select 
Electronics 

A 

Div 

J 

T 

1^     Fidelity   Select   Computer 

A 

Div 

J 

T 

1^     John  Hancock   Special 
Equities 

A 

Div 

J 

T 

Ij     Seligman  Comm  &    Info 
Fund 

A 

Div 

J 

T 

1      Inoome/Oaln  Codes;  A-$l,000  or  less              B-JI.OOl-CJOO'              O-£2.501.S5,000                   l>-$5^001  $15,000                 E-S15.001.$50,000      . 
(SeeCol.  BI,D4)       F-$56.OOI-SlOO.0OO        O-JlOO.OOTjl.000,000     Hl-SI,OOO.o6l-$3.000.000     H2=-Niore  than  $5,000,000                           '      '" 

2      ValueCOdes:              J-$15,000or  less               K-$15.001-$50.000            L-$50,001- $100,000              M-$100,001-$250,000                                    -     . 
(SeeCoLCl.DJ)       N-$ilO,001-$500.000      O-$500,001-$l,000,000     Pl-$l,000,001-jS.OOO,000     P2-$5,060,OOI-$2i,000,000                         •  .-; 

P3-$2i,000,001-J30.000.000           •                           P4-Wore  thin  $50,000,000                                                                            '        '     ■ 

3     Value  Method  Codes:  <>An>imisal                    R-Con  (leal  estate  only)    S-Axsessment                       TKIash/Muket 

(Se«CoLC2)            0-BookVilue        ■     •    VKWw  •                     .  W-€stimaitd                                                                                 :   -■ 

257 


FINANCIAL  DISCLOSURE  REPORT 


e  of  Pcnoo  lUfonog 

H.  Dean  Buttram,  Jr. 


Diuof  Rqxn 

lugust   31,    1998 


Vn.  Page  1  INVESTMENTS  and  TRUSTS  -  income,  value,  transactions  o^'cIwu.ac^oj 

(\\       spouu  and  tUpendeni  children  See  pp.  36-54  of  Jnstntclions.) 


^'-  •''     ■"■*;  Docriptioo  ofAiscts  '^^l^" , " ' 
^^^'V     .  -;;  (incliidmg  trost  «ssets);-c2^vV.  ]i 

JrvHrafr.  vhtrt  spplicabU  oytntr-oftiieaaetby' 
lofng'  the  parenlhetical  '(J)  "for Joint  ownerzhip  of 
ft  porting  tTidividiuii  and  sp<ms*.^''(S)' for  separaU 
trwntnMp  bv moux.  "(DQ)".  for  cwntrzhipby.^    % 
dependent  i±ild.  _^v    :  -^.-  .■".•;»  .^^^^  ,/    ^' 

'?'''?' -^     ■  I Plact'pQ'qfier each as3t(£.%f'^^'    ^^ 
^•V>^"      rxvnptfivm  prior  discioswx-j^^V^r:-  ^• 

.;;.     B:     -^     ;' 
■.,.:'    Income.  ^^^ 
,-i'^'  during    v     . 
;";■  reporting,  period 

t    '■'-  'c:->  :'■ 
."•;  Gross  value    , 
V;x.  •  alCDdoC 
i  reporting  period-' 

,;,■,- TransAcoom  during  reporting  period>    r:i^-'-'l~fc!0 

sAjffl. 
Godel 
\(A-H) 

•  Tm : 

div, 
.   rent  or  ■ 

I--,-:  Int)  •  • 

Vr   (D- 

Vilii 
■Code2 

'f  V»Iue 

Method 

1  Codol; 

,-.(Q-W) 

■*E,(lH,y; 

'  'It' '' 

"  ■  boy,  scJl, 

merger,    ', 
redemptioa): 

'i-'-'lZ'-'^-^-  If  not  exempt  finto  dlsdtOTie.^^^^  1 

Month- 
Day 

0) 
:Vilue- 
Code2 

Gmn 
Codel 
(A-H) 

i-'-    ■  ■      ■(5)'--  -i'r-J;Sl 
7   ■  ;,  -   Identity  ot:   ^^ 
y;     •    buyer/seller^  .^v 

NONE    (No  reportable  income,  tsscts, 

H.    DEAN   BUTTRAM,    JR.,    SEP 

/IRA 

-  ftEGIO 

]S  BA 

IK  CUST 

)D1AN 

Vista  Growth   &    Income   Fun 

i.A 

Div 

J 

T 

2       Amsouth  Bancorp  Common 

A 

Div 

J 

T 

3       AT&T  Corp  Conmion 

A 

Div 

J 

T 

4       CIFRA  SA  Class   V 

A 

Div 

J 

T 

i       Coca  Cola   Common 

A 

Div 

J 

T 

6       Johnson  &   Johnson   Common 

A 

Div 

J 

T 

7       Lucent   Technologies 

A 

Div 

J 

T 

«       NCR  Corp 

non 

J 

T 

9       Wal-Mart   Common 

A 

Div 

J 

T 

10 

II 

12 

13 

U 

IS 

l< 

17 

II 

1.'    IncoinoQilnCodes:  A-tljOOOoriea     '     .  B-Jl.OOl-nJOO"      •     "OS2.301.J5.000         *     ■  I>-$5.0OI-SI5,dOO     '' '•  VB-J15.001.J50,00(r=  V- 
(S«CoLBl.I>4)       F-$5(J.001-S100,000     'a-SIOO,O0T$l,00O.00O-  HI-$I.OOO.o6lJ5,000.000    H2-^loretllm  $5,000,000        - 

2      VilueQxIei:            >41S,000  or  lea            K-$I5.001.J50,000          L-SS0,001- SI  00,000            M-Jl  00,00  l-J250,000      -  .                          ,.'-. 

(SeeCol.CI,D3)       N^0.001-$SOO,000      OJ500,001-J1,000,000     P1-$I,000,OOI-J5,000,000     P2-J5.0M,001-S2i.000,000     -                        ■.    '    - 

.       P>I25,bOO,001-J50.000,000              ,'.-.•■      -  P4-Moit  tiin  $50,000,000 ,-    .                           -  •■                 •       ;:-:■"-».-- 

.3     VilueMetliod Coder  OApiwiisil--       -    :    RK:o«t(ieile»aiDOBly)    S-AncasmeBt          , ..         TK^oWMrtet-  -.   '  •?'   ;  •            -:-.;7?:0 

258 


FINANCIAL  DISCLOSURE  REPORT 


H.    Dean  Butcram,    Jr. 


Augusc   31,    1998 


rV.   REIMBURSEMENTS    -  muporuuon.  lodgint.  food.  enlciuiniMnL 

flncludes  Ihost  to  spoust  and  depthdgnt  chlldrtn.  uu  Ott  partntlnncals  '(S)  *  and  '(DC)  '  to  tndtcatt  rtportable 
rtimburstmeras  rrcftvtd  by  spcus*  and  deptndent  childrtn.  rrsptcttvrty   St*  pp  2S-29  of  Instructions  J 

£QIiR££  DESCRIPTION 


H 


NONE  (No  such  rtpoitiblc  icimbunonents ) 


V.    GIFTS.  flHcfydas  ihoM  10  spous*  of^ <kptndtni  chikbrn.  ux  tht  ptv<tiutmhatb '(^' and '(IK)' to  InAeam giftM  rtcit^ 
by  spouat  and  dependent  children,  rtsptettvtty   See  pp.  29-32  t^lnstntctionsj 
SQUSCE  DESCRIPTION 


H 


VALUE 


NONE  (No  such  repoiubic  lifts  ) 


VI.    LIABILITIES.  (Inclndtt  iAom  oftpouMOKddiptntkmd  cM^tn;  taificatr.  wkrn  appltcaNt.  ptnen  rtqxxalblajcr 

liabihty  by  usmg  tht  partnthttlcal  'IS)'/of  stparatt  Itabtlily  qftht  spouM,  '(J)' for jotnt  liabitily  ofrtporting 
individual  and  ^toust.  and '(DC)'/or  liability  o/odependenichlU  S€*  pp  iS-SS  of  Instructions  ) 
CREDITOR  DESCRIPTION 


n 


NONE  (No  repoiubic  liibililics  ) 


Rpglnn.;    Rank 


Nathan  Pearson,  David  Pearson,  and 
Forrett  P«ar«on 


Rebecca  Jean  Prltchett 


Open  Signature  Loan 


VAMIE  CODE* 


Real. Estate  Mortgage  owed  Jointly 
on  162  acres  on  Lookout  Mt,  Al 

Real  Estate  Mortgage  on  7  acres 


K-il5,(»l-i50,000  ••    >       L-«0.001-$1(».(XIO       M-4IOO,001.*250,000-     ■     ■■     N-S2iO,(»l 4500.000'^.: 

pi-4i.ooo,ooi-«5,ooa,qoo  .  .   F2-t5.ooo,ooi-su.ooo,ooo     ,  st'; '  ■•  V;; 


VtlocCMa     )-SlS.O(Mork*s       ^~ 

o-ssoo.aoi-si.ooo.ooo 


P3-m.0O0.0OI-S50.0O0iO0O     W'<».000.001Of 


259 


FINANCIAL  DISCLOSURE  REPORT 


Nmm  oT  Fhmb  Ripaliag 

Horace  Dean  Buttram,  Or, 


DMcoflUpM 

8/31/98 


VIII.  ADDITIONAL  INFORMATION  OR  EXPLANATIONS  (lodiot*  part  of  Report) 


IX.  CERTIFICATION. 


In  compliance  with  the  provisions  of  28  U.S.C.  §  455  and  of  Advisory  Opinion  No.  57  of  the  Advisory  Committee  on  Judicial  Activities, 
and  to  the  best  of  my  knowledge  after  reasonable  inquiry.  I  did  not  perform  any  adjudicatory  function  in  any  litigation  during  the  period  covered 
by  this  report  in  which  I,  my  spouse,  or  my  minor  or  dependent  children  had  a  fmancial  interest,  as  defmed  in  Canon  3C(3Xc),  in  the  outcome 
of  such  litigation. 

I  certify  that  all  information  given  above  (including  information  pertaining  to  my  spouse  and  minor  or  dependent  children,  if  any)  is 
accurate,  true,  and  complete  to  the  best  of  my  knowledge  and  belief,  and  that  any  information  not  reported  was  withheld  because  it  met 
applicable  statutory  provisions  permitting  non-disclosure. 

I  fiirther  certify  that  eanulTincome  from  outside  employment  and  honoraria  and  the  acceptance  of  gifts  which  have  been  reported  are  in 
compliance  with  the  provis^ns  pf  5  U,S<(^ap£^,  §  501  et.  seq.,  5  U.S.C.  §73^  and  Judicial  Conference  regulations. 


Signature 


Date    August  31,  1998 


NOTE:  ANY  INDIVIDUAL  WHO  KNOWINGLY  AND  WILFULLY  FALSIFIES  OR  FAILS  TO  FILE  THIS  REPORT  MAY  BE 
SUBJECT  TO  CIVIL  AND  CRIMINAL  SANCTIONS  (5  US  C.  App.  4,  §  104.) 


Mail  signed  original  and  3  additional  copies  to: 


FILING  INSTRUCTIONS: 


Committee  on  Financial  Disclosure 
_  Administrative  Office  of  the 
United  States  Courts 
Suite  2-301 

One  Columbus  Circle,  N£. 
Washington, DC.  20S44 


260 


LYONS  &  MORGAN,  P.C. 

Certified  Public  Accountants 

105  MAE  STREET  •CENTRE.  ALABAMA  35%0  MEMIEM 

OFFICE  (205)  927.M31  AlABAMA  SOQETY  OF  O-Ai 

FAX  (205)  927-8517  AMERICAN  INSniUTI  OF  CPAs 


Mr.  H.  Dean  But tram,  Jr. 
Centre,  Alabama 

We  have  compiled  the  accompanying  statement  of  net  worth  of 
H.  Dean  Buttram,  Jr.  as  of  August  31,  1998,  included  in  the 
accompanying  prescribed  form  in  accordance  with  Statements  on 
Standards  for  Accounting  and  Review  Services  issued  by  the 
American  Institute  of  Certified  Public  Accountants.   We  also  have 
compiled  the  supplementary  information  presented  in  the  prescribed 
form. 

Our  compilation  was  limited  to  presenting  in  the  form  prescribed 
by  the  United  States  Senate  Judiciary  Committee  information  that 
is  the  representation  of  the  individual  whose  financial  statement 
is  presented.   We  have  not  audited  or  reviewed  the  financial 
statement  and  supplementary  information  referred  to  above  and, 
accordingly,  do  not  express  an  opinion  or  any  other  form  of 
assurance  on  them. 

The  financial  statement  and  the  supplementary  information  are 
presented  in  accordance  with  the  requirements  of  the  United  States 
Senate  Judiciary  Committee,  which  differ  from  generally  accepted 
accounting  principles.   Accordingly,  this  financial  statement  and 
the  supplementary  information  are  not  designed  for  those  who  are 
not  informed  about  such  differences. 

This  financial  statement  is  intended  to  present  the  assets  of  H. 
Dean  Buttram,  Jr.  at  estimated  current  values  and  his  liabilities 
at  estimated  current  amounts. 


J  /%. 


Lyons  &  Morgan,  P.C. 
September  1,  1998 


261 


RKANOAL  STATCMENT 
NSTWORTH 

H.  Dean  Buttran,  Jr. 
August  31,   J998 

Piovidc  I  complete,  current  floifldai  net  wonh  tutemeni  which  iiemliet  in  detail 
til  tstr.u  (lncludLi(  Uek  accounu.  real  etuie,  lecoities,  tnitts,  inveftments,  and  other  flnancitl 
holding!)  aU  UabOIdet  doclodlng  debu.  montafei,  loani.  aad  other  nnanclal  obU(»tioni)  of 
yourself,  your  spouse,  and  ether  immediate  meoiert  of  your  household. 


Attm                            1 

UABiunu 

"*■ 

CtA  —  hudiBHtUiit 

31, 

600 



•dwtfd* 

Regions  Bank,  Centre,  AL 

^* 

000 

Uiud  t«carifo-«d<  Kliids)* 

805, 

360 

KMHptxdtitoHhtfm 

1, 

000 

KtMrViUtiaaftia 

Aceemtt  ui  B»iM  fMdvifekt  < 

AMOMHMlWBidM 

Dm  torn  nbdni  >fi4  Mwdi 

tfcpd^lMMMltt 

1 

pMfi«raedi<n 

. 

OOtuvfiSiUxtnlbiuttt 

DoatrtM 

177, 

857 

KmI  MUie  ••mt4-«4d  sAtUtt 

1,735, 

000 

Quad  Mctma  ((rf  tdMf  IUm  piy* 

JUil  MUM  aier<|t{u  nctlriUt 

13, 

750 

<MitfMa-{l«nlut 

A«<M  u4  oihtf  rcnooil  prapcrtjr 

124, 

»0 

Travelers  Bank  Master  Card 

S 

X» 

Cuk  vilM-Cr*  (aivibw 

62, 

?72 

OllM  Mttt-lttldtti 

Annuities 

.      69, 

MX. 

* 

" 

IRAs.  and  SEPs  (Schedule  attached) 

'    ill. 

159 

- 

. 

TMilUbaUH 

225, 

857 

z 

MVM 

!,928, 

988 

Total  Amu 

3,154, 

345 

TeiiiitfflUuiB4«el««rfk 

3,154, 

ai.5 

O0.yTIN0ENT  UABIUTIES 

OEKElUtlKFOIlMA'nON 

As  co4«Hr,  tontiu  or  nuutac 

See  Sdiedule 

159,' 

)57 

At*  iqr  UHU  ((«d(cA  (Adf  icli«d« 

«10   No 

— 

Oa  ituct  or  eeobieu 

•ctelt   No 

LetilQiIiM 

Ibn]reBrrccttfaabin)avp(flyt    No 

Rrairlilen  for  FMwtl  InoMnt  Itt 

OiltM  i^til  itU 

1 

.«>- 

Lj 

262 


H.  DEAN  BUTTRAM,  JR. 
STATEMENT  OF  FINANCIAL  NET  WORTH 
AUGUST  31,  1998 
SUPPORTING  SCHEDULES  (Page  1) 

LISTED  SECURITIES 

Mutual  Fxuids 

Berger  100  3  375 

Berger  G&I  888 

Berger  Small  Company  1  353 

CGM  Mutual  4  428 

CGM  Realty  2  611 

Janus  Worldwide  2  666 

Kaufman  1737 

Lindner  Dividend  2  837 

Mutual  Qualified  4  582 

Davis  NY  Venture  3,4  69 

Openheimer  MSIG  1918 

Putnam  New  OP/A  2  860 

Robertson-Stephens  Value  &  Growth  5^958 

Selected  American  Shares  1054 

So-Gen  International  '800 

T.  Rowe  Price  Sci  &  Tech  4,843 

Von  Wagoner  Mid  Cap  '735 

Von  Wagoner  Micro  Cap  717 

Warburg  Pincas  G&I  1  397 

Warburg  Pincas  International  2!624 

Total  Mutual  Fvmds  50  853 


Common  Stocks 

223.38  Shares  AmSouth  7,679 

316.32  Shares  AT&T  15^856 

310  Shares  Bell  Atlantic  13*680 

324.48  Shares  BellSouth  22^247 
371.9  Shares  Bristol -Myers-Squibb  36*400 
2,539  Shares  CIFRA  28^564 

397.49  Shares  Citizens  Utilities  2^931 
119.29  Shares  Clorox  11^504 
694.41  Shares  Coca-Cola  45,223 
169  Shares  Compass  Bank  5,577 
196.4  Shares  Emerson  Electronics  11,195 
165.72  Shares  General  Electric  13,258 
149.85  Shares  Gillette  12*325 
144.24  Shares  IBM  16^245 
272.82  Shares  Intel  19^421 

See  Accountants'  Compilation  Report. 


263 


H.  DEAN  BUTTRAM,  JR. 
STATEMENT  OF  FINANCIAL  NET  WORTH 
AUGUST  31,  1998 
SUPPORTING  SCHEDULES  (Page  2) 


LISTED  SECURITIES 

Common  Stocks  (Continued) 

107.73  Shares  Lucent  Technology  7,635 

149.45  Shares  McDonald's  8,425 

189.64  Shares  Merck  21,980 

400  Shares  Microsoft  38,360 

100.50  Shares  Monsanto  5,528 
200  Shares  Netscape  3,600 

164.51  Shares  Regions  Financial  5,696 
255.16  Shares  SBC  9,721 
20  Shares  Solutia  450 
352.62  Shares  Southern  Company  9,917 
417.43  Shares  SouthTrust  Corporation  13,514 
100  Shares  Sun  Microsystems  3,962 
454.47  Shares  Wal-Mart  26. 814 

Total  Common  Stocks  417,707 


Mxinlclpal  Bonds 

State  of  Alabama  Source  Bonds  336,800 

Total  Municipal  Bonds  336,800 

TOTAL  LISTED  SECURITIES  805.360 

UNLISTED  SECURITIES 

100  Shares  H.  Dean  Buttram,  Jr.  &  Associates,  P.C.       1,000 

TOTAL  UNLISTED  SECURITIES  i.qoq 


See  Accountants'  Compilation  Report. 


264 


H.  DEAN  BUTTRAM,  JR. 
STATEMENT  OF  FINANCIAL  NET  WORTH 
AUGUST  31,  1998 
SUPPORTING  SCHEDULES  (Page  3) 


REAL  ESTATE  OWNED 


Personal  residence  and  4  waterfront  lots  on 

County  Road  61,  Centre,  Al  370,000 

Office  and  lot.  West  Main  Street,  Centre,  Al  200,000 

10  lots  in  J.  B.  Burkhalter  Subdivision  #2,  and 

approximately  3  unimproved  acres  adjacent  thereto, 

County  Road  61,  Centre,  Al  75,000 

211  acre  farm  on  Lookout  Mountain  near  Sand  Rock,  Al    422,000 

1.25  Acre  recreational  lot  on  Weiss  Lake  20,000 

4  lots  on  the  brow  of  Lookout  Mountain  near  Sand 

Rock,  Al  40,000 

An  undivided  1/2  interest  in  a  162  acre  tract  on 

the  brow  of  Lookout  Mountain  owned  with  Charles 

Mauney,  a  Fort  Payne,  Al  attorney  400,000 

An  undivided  1/2  interest  in  3.14  acres  of  commercial 

property  on  Highway  411  West,  Centre,  Al  owned  with 

J.  Wayne  O'Neal,  a  Centre,  Al  realtor  60,000 

An  undivided  1/3  interest  in  a  commercial  lot  in 

front  of  the  Piggly  Wiggly  Shopping  Center  on 

Highway  411  West,  Centre,  Al  owned  with  Bill  Turner, 

a  Centre,  Al  grocer  and  businessman  and  J.  Kevin 

Grimes,  a  Centre,  Al  attorney  20,000 

An  undivided  1/3  interest  in  18  acres  of  commercial 

property  at  the  corner  of  Chestnut  By  Pass  and  King 

Street,  Centre,  Al  owned  with  W.  A.  Ellis,  III,  a 

Centre,  Al  agribusinessman  and  Eric  Ellis,  a  Centre, 

Al  businessman  108,000 

A  remainder  2/3  interest  in  a  residence  in  Piedmont, 

Al.   The  life  estate  is  owned  by  Hattie  Rappe, 

grandmother,  and  the  1/3  remainder  interest  by 

David  Buttram,  brother.  20.000 


TOTAL  REAL  ESTATE  OWNED 

See  Accountants'  Compilation  Report. 


1.735.000 


265 


H.  DEAN  BUTTRAM,  JR. 
STATEMENT  OF  FINANCIAL  NET  WORTH 
AUGUST  31,  1998 
SUPPORTING  SCHEDULES  (Page  4) 


RETIREMENT  PLANS 

A.  G.  Edwards  Custodian  of  IRA  80,255 

Regions  Bank  Custodian  of  H.  Dean  Buttram,  Jr.  SEP     180,000 

Regions  Bank  Custodian  of  H.  Dean  Buttram,  Jr.  & 

Associates,  P.C.  SEP  43,000 

Berger  Mutual  Fund  custodian  of  IRA  1,4  92 

CGM  Mutual  Fund  custodian  of  IRA  1,412 

Fidelity  Investments  custodian  of  IRA  5 . 800 

TOTAL  RETIREMENT  PLANS  311. 959 

REAL  ESTATE  MORTGAGE  PAYABLE 


Mortgage  and  promissory  note  of  $35,000  to  Rebecca 

Jean  Pritchett  dated  April  1,  1998,  due  April  1,  1999, 

together  with  interest  at  8%.   Collateral  is  7  acres 

of  unimproved  real  estate.  35,000 

1/2  of  $400,000  mortgage  dated  March  5,  1996,  owed 

jointly  with  Charles  Mauney  to  Nathan  Pearson,  David 

Pearson,  and  Forrest  Pearson,  payable  in  14  semiannual 

installments  of  $28,571.42  principal  with  interest 

of  8%  added.   Collateral  is  162  acres  of  Lookout 

Mountain  Brow  property.  142. 857 

TOTAL  REAL  ESTATE  MORTGAGES  PAYABLE  177. 857 


See  Accountants'  Compilation  Report. 


266 


H.  DEAN  BUTTRAM,  JR. 
STATEMENT  OF  FINANCIAL  NET  WORTH 
AUGUST  31,  1998 
SUPPORTING  SCHEDULES  (Page  5) 


CONTINGENT  LIABILITIES 

Joint  liability  on  real  estate  mortgage 

Guarantor  to  Farmers  &  Merchants  Bank,  Centre,  Al  on 
note  for  Thomas  J.  Miller 

Guarantor  to  Spencer  Realty  on  an  apartment  lease 
for  George  King,  III 

TOTAL  CONTINGENT  LIABILITIES 


See  Accountants'  Compilation  Report, 


267 


SENATE  JUDICIARY  COMMITTEE  QUESTIONNAIRE 


Question   1: 

Answer : 

Question  2: 

Answer : 


Question  3: 
Answer: 

Question   4: 
Answer: 


Question   5: 


Answer: 


I.  BIOGRAPHICAL  INFORMATION 

Full  name  (include  any  former  names  used) . 

Inge  Prytz  Johnson  (Prytz  is  my  maiden  name) 

Addresses:  List  current  place  of  residence  and 
office  address (es). 

Residence-  Tuscumbia,  AL 

Office   -   Colbert  County  Courthouse 
201  N.  Main  Street 
Tuscumbia,  AL  35674 

Mailing  -   P.O.  Box  968 

Tuscumbia,  AL  35674. 

Date  and  place  of  birth. 

December  19,  1945 
Svendborg,  Denmarlc. 

Marital  Status:  (include  maiden  name  of  wife,  or 
husband's  name).   List  spouse's  occupation, 
employer's  name  and  business  address(es). 

I  am  married  to  William  Tipton  Johnson,  Jr. 

My  husband  is  a  self-employed  attorney-at-law. 

Business  address:   William  Tipton  Johnson,  Jr. 
103  East  Fifth  Street 
Tuscumbia,  Alabama  35674 

Education:   List  each  college  and  law  school  you 
have  attended,  including  dates  of  attendance, 
degrees  received,  and  dates  degrees  were  granted. 

(Under  the  Danish  educational  system,  a  person  who 
pursues  a  university  degree  attends  the  school  of 
his/her  chosen  profession  for  the  entire  course  of 
study.   There  is  no  college  education  similar  to 
an  American  college  degree) . 

University  of  Copenhagen  School  of  Law 
September  1964  to  June,  1969, 
CandiddLUS  Juris  Degree,  June  16,  19  69. 
The  City  of  London  College,  Summer  Term 
London,  England. 
July  15,  1968  to  August  9,  1968, 


268 


Certificate  in  English  Law.  August  9,  1968. 

University  of  Alabama  School  of  Law, 

August  1969  to  May  1970, 

Master  of  Comparative  Law.  May  31,  1970. 

University  of  Alabama  School  of  Law, 
August  1971  to  May  1973, 
Juris  Doctor.  May  13,  1973. 

Question  6:    Employment  record:  List  (by  year)  all  businesses 

or  professional  corporations,  companies,  firms,  or 
other  enterprises,  partnerships,  institutions  and 
organizations,  nonprofit  or  otherwise,  including 
firms,  with  which  you  were  connected  as  an 
officer,  director,  partner,  proprietor,  or 
employee  since  graduation  from  college. 

Answer:    September,  1970  -  May,  1971: 
Adjunct  Faculty  member 

University  of  Copenhagen,  School  of  Law;  Procedure 
(Universitets  manudukt(}>r  i  opgaverettelse  i 
proces) 
Frue  Plads 
Copenhagen,  Denmark 

August,  1970  -  July,  1971: 

Associate 

DRAGSTED,  KROMANN,  N(t)RREGAARD  &.    FRIIS, 

Attorneys  at  Law 

Denmark 

Slimmer,    1972: 

Part-time  clerk/runner 

ZEANAH,  HUST,  SUMMERFORD  &  DAVIS 

Attorneys  at  Law 

October,  1973  -  January,  1979: 
JOHNSON  &  JOHNSON 
Partner 
Attorneys  at  Law 

January,  1978  -  January,  1979: 

Municipal  Judge 

City  of  Muscle  Shoals 

January,  1979  -  present: 
Presiding  Circuit  Judge 
31st  Judicial  Circuit 


269 


1991-  present 

Secretary 

Helen  Keller  Property  Board 

September  1997  -  present 
Board  of  Directors 
Alabama  Law  School  Foundation 
University  of  Alabama 

July  1998  -  present 

First  Vice-President 

Alabama  Circuit  Judges  Association 

Question  7:   Military  Service;  Have  you  had  any  military 

service?   If  so,  give  particulars,  including  the 
dates,  branch  of  service,  rank  or  rate,  serial 
number  and  type  of  discharge  received. 

Answer:    I  have  had  no  military  service. 

Question  8:    Honors  and  Awards :  List  any  scholarships, 

fellowships,  honorary  degrees,  and  honorary 
society  memberships  that  you  believe  would  be  of 
interest  to  the  Committee. 

Answer:   American- Scandinavian  Foundation's  "Thanks  to 

Scandinavia"  scholarship,  1969-1970. 
Fulbright  Travel  Grant,  1969-1970. 
American  Women's  Club  Grant,  1969. 
Law  School  Foundation  Scholarship,  University  of 

Alabama,  1972-1973. 
Editorial  Board  Member,  Alabama  Law  Review, 

University  of  Alabama,  1972-1973. 
Outstanding  Editorial  Senior,  Alabama  Law  Review, 

1973. 
Women  of  Achievement,  Colbert  County  Business  and 

Professional  Women's  Club,  1979. 
Woman  of  the  Year,  Colbert  County  Business  and 

Professional  Women's  Club,  1979. 
"Boss  of  the  Year",  Colbert  County  Legal 

Secretaries'  Association,  1981. 
Friend  of  FEW  Award,  Outside  TVA  (Tennessee 

Valley  Authority) ,  for  promoting  the  ideals  of 

federally  employed  women,  June  4,  1982. 
Plaque  of  Appreciation  by  TVA  Muscle  Shoals 

Chapter,  National  Management  Association, 

April  21,  1987. 
First  Baptist  Church,  High  Street,  Tuscumbia, 

Plaque  of  Appreciation  for  outstanding  service 

renderea  Lo  the  women  ot  First  Baptist  Church, 

April  15,  1989. 


270 


People  Against  Litter  of  the  Shoals,  Colbert 
County  Chapter,   Plaque  of  Appreciation  for 
services  rendered  in  making  your  county  a 
healthy,  more  litter  free  environment,  1993. 

Featured  in  the  Congressional  Record  of  the 
United  States  of  America,  July  28,  1994  (copy 
enclosed) . 

Featured  in  a  Danish  Documentary  on  National 
Danish  Television,  1995. 

Alabama  Women  of  Distinction,  Girl  Scouts  of  North 
Alabcuna,  Inc.,  1996. 

Leadership  Alabama,  Class  of  1998. 

Question  9:    Bar  Associations;  List  all  bar  associations,  legal 
or  judicial  related  committees  or  conferences  of 
which  you  are  or  have  been  a  member  and  give  the 
titles  and  dates  of  any  offices  which  you  have 
held  in  such  groups. 

Answer:    Member,  Colbert  County  Bar  Association, " 1973- 
present . 

Member,  Alabama  Association  of  Circuit  Judges, 
1979-present. 

Secretary/Treasurer,  Alabama  Association  of 
Circuit  Judges,  1996-1997. 

2nd  Vice-president,  Alabama  Association  of  Circuit 
Judges,  1997-1998. 

1st  Vice-president,  Alabama  Association  of  Circuit 
Judges,  1998 -present . 

Member,  Alabama  State  Bar  Association,  1973- 
present . 

Member,  American  Bar  Association,  1973-1990. 

Member,  Board  of  Directors,  Alabama  Law 
Foundation,  1997-present  (three  year  term). 

Danish  Juristf orbund,  Copenhagen,  Denmark,  1964- 
1971. 

Chairperson,  Committee  on  Prison  and  Jail 
Overcrowding,  National  Conference  of  State  Trial 
Judges,  America  Bar  Association,  1983-1986. 


271 


Co-Chairperson,  National  Conference  of  the 
Judiciary,  Crisis  in  the  Streets,  Jail  and 
Prison  Crowding,  National  Judicial  College, 
March,  1985. 

Member,  National  Conference  of  State  Trial 
Judges  Jury  Management  Committee,  American  Bar 
Association,  1986-1994. 

Executive  Committee  member.  National  Conference 
of  State  Trial  Judges,  American  Bar  Association, 
1982-1986. 

Member,  Alabama  Judicial  System  Study  Commission, 
December  1997 -present  (two  year  term) . 

Chairperson,  Alabama  Association  of  Circuit 
Judges,  Media  Committee,  1994. 

Member,  Circuit  Judges'  Legislative  Committee, 
1994. 

Chairperson,  Circuit  Judges  Scholarship  Fund, 
1991-1994. 

Alabama  Supreme  Court's  Committee  on  Attorney 
Calendar  Conflict  Resolution  (present) . 

Alabama  Supreme  Court's  Committee  on  Court 
Security  (present) .   See  attached  Trial  Court 
Security  Plan  and  Alabama  Supreme  Court  Rule. 

Alabama  Chief  Justice's  Task  Force  on  Campaign 
Reform  (present) .   See  attached  Consensus 
Statement  dated  January  21,  1997. 

Alabama  Judicial  Study  Commission  -  Committee 
on  Sentencing,  December  1997 -present. 

National  Judicial  College,  Reno  Nevada, 
General  Jurisdiction  Term.  Summer  1980, 
Certificate  of  Completion,  May  29,  1980. 

American  Academy  of  Judicial  Education 

August  24-28,  1981, 

Certificate  of  Achievement  in  recognition  of 

completion  of  the  course  of  study  in 

Constitutional  Criminal  Procedure.  August  28, 

1981. 


272 


National  Judicial  College,  Reno,  Nevada, 
November  2  8  -  December  2,  19  83, 
Certificate  of  Participation  in  the  National 
Conference  of  the  Judiciary  on  the  Rights  of 
Victims  of  Crime.  December  2,  1983. 

National  Judicial  College,  Reno,  Nevada, 

and  the  Alabama  Judicial  College 

May  23  -  May  27,  1988, 

Certificate  of  Completion  and  a  Certificate  of 

Recognition  for  serving  as  Discussion  Leader  on 

the  Alabama  Sentencing  Institute. 

May  27,  1988. 

National  Judicial  College, 

The  Institute  of  Public  Law  and 

the  Women  Judges'  Fund  for  Justice, 

Reno,  Nevada,  September,  1989. 

Certificate  of  Completion,  National  Conference  of 

the  State  of  the  Judiciary  on  Bioethical  Issues. 

September  10,  1989. 

Yale  Law  School,  Certificate  of  Scholarly 
Participation  in  Criminal  Sentencing  Program 
Spring  term  1990,   June  5,  1990. 

Alabama  Association  of  Circuit  Judges,  various 
other  committees  throughout  the  last  20  years. 

Question  10:    Other  memberships :   List  all  organizations  to 
which  you  belong  that  are  active  in  lobbying 
before  public  bodies.   Please  list  all  other 
organizations  to  which  you  belong: 

Answer:    Organizations  which  lobby  before  public 
bodies : 

Member,  Alabama  Association  of  Circuit  Judges, 
1979-present. 

Other  organizations: 

Member  and  Secretary,  Helen  Keller  Property  Board, 
1990-present. 

Chairman,  Community  Drug  Task  Force,  1995  to 
present  (A  community  effort  to  research  prevention 
of  drug  use  in  children  and  young  adults.) 

Question  11:    Court  Admission:  List  all  courts  in  which  you  have 
been  admitted  to  practice,  with  dates  of 
admission  and  lapses  if  any  such  memberships 


273 


lapsed.   Please  explain  the  reason  for  any  lapse 
of  membership.   Give  the  same  information  for 
administrative  bodies  which  require  special 
admission  to  practice. 

Answer:    K(J)benhavn '  s  Byret,  Copenhagen,  Denmark, 
August  1,  1970  -  July  31,  1971. 

Admission  lapsed  when  I  moved  to  the  United  States 
of  America,  obtained  my  Juris  Doctor  Degree  here 
and  became  an  American  Citizen  practicing  law  in 
Alabama. 

Supreme  Court  of  Alabama,  October  23,  1973 
Alabama  Court  of  Criminal  Appeals  and 
Alabama  Court  of  Civil  Appeals  as  well  as  all 
Circuit  and  District  Courts  of  the  State  of 
Alabcima,  October  23,  1973. 

United  States  District  Court  for  the  Northern 
District  of  Alabama,  November  19,  1974. 

Question  12:   Published  writings:  List  the  titles,  publishers, 
and  dates  of  books,  articles,  reports,  or  other 
published  material  you  have  written  or  edited. 
Please  supply  one  copy  of  all  published  materials 
not  readily  available  to  the  Committee.   Also 
please  supply  a  copy  of  all  speeches  by  you  on 
issues  involving  constitutional  law  or  legal 
policy.   If  there  were  press  reports  about  the 
speech,  and  they  are  readily  available  to  you, 
please  supply  them. 

Answer:    "The  Echoes  of  Gideon  and  Reverberations  of 
Araersinaer:   Legal  Representation  of 
Indigent  Criminal  Defendants  in  Alabama," 
Vol.  25  Alabama  Law  Review  Number  1,  Fall 
1972.   In  connection  with  this  article  I 
drafted  proposed  Public  Defender  legislation. 
Bill  No.  7-390,  pre-filed  by  State  Senator  Richard 
Shelby  {now  United  States  Senator  Richard 
Shelby)  on  July  6,  1972.   This  bill  is  attached  to 
the  law  review  article  beginning  on  page  284. 


"The  Law  of  Trusts  in  Alabama,"  Vol 
Law  Review  Number  2,  Spring  1973. 


25  Alabama 


Community  Drug  Assessment  Task  Force  Report  #1, 
dated  March  9,  1997. 

I  have  given  no  speeches  on  issues  of 

constitutional  law.   I  have  given  numerous 
speeches  to  high  school  students,  bar 


274 


Question  13; 


associations,  classes  for  the  Alabama  Judicial 
College,  junior  college  classes,  law  school 
classes  and  civic  organizations  on  a  wide  variety 
of  topics  including  the  culture  of  Denmark,  self- 
motivation,  and  legal  issues  such  as  wills  and 
trusts,  sentencing,  divorce  and  worker's 
compensation.   I  have  no  written  speeches  nor 
have  I  saved  any  of  my  notes . 

I  have  taught  several  Continuing  Legal  Education 
courses  for  the  Alabama  State  Bar  on  issues  such 
as  Worker's  Compensation,  Expert  witnesses,  and 
Trial  Issues.  Although  I  prepared  handouts  for 
some  of  these  courses,  I  did  not  keep  any  copies 
and  have  no  notes.  All  of  these  courses  were 
taught  several  years  ago.   I  have  checked  with  the 
Alabama  State  Bar  Continuing  Legal  Education, 
Eileen  Gabrielson,  who  informed  me  that  they  have 
disposed  of  all  handouts  prepared  by  me.   I  have 
not  taught  a  CLE  course  since  November  1991. 

Health:   What  is  the  present  state  of  your 
health?  List  the  date  of  your  last  physical 
examination. 


Answer ; 


I  am  in  good  health.   My  last  physical  examination 
was  January  26,  1998. 


Question  14:    Judicial"  Office:  State  (chronologically)  any 
judicial  offices  you  have  held,  whether  such 
position  was  elected  or  appointed,  and  a 
description  of  the  jurisdiction  of  each  such 
court. 

Answer:   I  was  elected  (as  the  first  woman  circuit  judge  in 
the  State  of  Alabama)  in  1978  and  took  office  as 
circuit  judge  for  the  31st  Judicial  Circuit 
January  16,  1979.   The  term  is  a  six  (6)  year 
term. 

I  was  re-elected  in  1984  to  the  same  position  for 
a  second  six  (6)  year  term. 

I  was  re-elected  in  1990  to  the  same  position  for 
a  third  six  (6)  year  term. 

I  was  re-elected  in  1996  for  a  fourth  six  (6)  year 
term  to  the  seone  office. 


I  have  served  as  the  Presiding  Circuit  Judge  for 
this  circuit  since  1980. 


275 


I  have  sat  as  circuit  judge  by  Supreme  Court 
designation  in  the  following  additional  circuits: 

10th  Judicial  Circuit  (Jefferson  County,  Alabama) 
11th  Judicial  Circuit  (Lauderdale  County, 

Alabama) 
13th  Judicial  Circuit  (Mobile  County,  Alabama) 
24th  Judicial  Circuit  (Fayette  County,  Alabama) 
25th  Judicial  Circuit  (Winston  &  Marion  Counties, 

Alabama) 
34th  Judicial  Circuit  (Franklin  County,  Alabama) 
36th  Judicial  Circuit  (Lawrence  County,  Alabama) 
39th  Judicial  Circuit  (Limestone  County,  Alabama) 

The  Circuit  Court  in  the  State  of  Alabama  is  the  General 
Jurisdiction  Court.   As  a  circuit  judge  I  have  heard 
criminal  felony  cases  involving  the  death  penalty,  all  other 
types  of  felony  cases,  misdemeanor  cases  in  which  jury 
trials  are  requested,  and  misdemeanor  appeals  from  the 
district  court.   I  have  heard  all  types  of  civil  litigation, 
including  products  liability  cases,  medical  malpractice 
cases  and  legal  malpractice  cases,  will  contests  and  other 
estate  matters,  boundary  line  disputes,  worker's 
compensation  cases,  paternity  cases,  administrative  appeals 
such  as  appeals  from  rulings  by  the  Department  of  Public 
Safety,  the  Department  of  Industrial  Relations,  the  Board  of 
Nursing  regarding  licensing  of  nurses.  Zoning  Board  Appeals 
from  Boards  within  the  Circuit,  and  appeals  from  rulings  on 
the  granting  or  denial  of  other  types  licenses  such  as 
liquor  licenses.   I  have  heard  labor  disputes,  domestic 
litigation,  and  litigation  involving  Adult  Protective 
Services  and  other  Department  of  Human  Resources  cases. 
As  circuit  judge,  I  also  handle  the  grand  juries. 

I  was  a  municipal  judge  for  the  City  of  Muscle  Shoals, 
Alabama,  in  1978.   This  was  a  part-time  position  to  which  I 
was  appointed.   Muscle  Shoals  City  court  is  a  court  of 
limited  jurisdiction  involving  only  municipal  offenses. 

15.   Citations :  If  you  are  or  have  been  a  judge,  provide: 
(1)  citations  for  the  ten  most  significant 
opinions  you  have  written;  (2)  a  short  summary  of 
and  citations  for  all  appellate  opinions  where 
your  decisions  were  reversed  or  where  your 
judgment  was  affirmed  with  significant  criticism 
of  your  substantive  or  procedural  rulings;  and  (3) 
citations  for  significant  opinions  on  federal  and 
state  constitutional  issues,  together  with  the 
citation  to  appellate  court  rulings  on  such 
opinions.   If  any  of  the  opinions  were  not 
officially  reported,  please  provide  copies  of  the 
opinions . 


276 


Answer:    Part  (1) : 

1.  Jordan  v.  Mitchell.  705  So. 2d  453  (Ala. Civ. 
App.  1997)  . 

2.  John  Forrest  Parker  v.  State  of  Alabama 
CC  88-105 

Rule  32  Opinion  (currently  on  appeal) 
After  trial,  the  case  was  remanded  with 
directions,  Parker  v.  State.  587  So. 2d  1072, 
affirmed  after  remand,  610  So. 2d  1171 
(Ala.Cr.App.l992) ;  cert,  denied.  610  So. 2d 
1181  (Ala.  1992)  . 

3.  Melvin  Randall  Nix,  et  al .  v.  Colbert  Countv- 
Northwest  Alabama  Health  Care  Authority. 

et  al. .  CV  92-44 

Order 

Affirmed,  678  So. 2d  719  (Ala. 1996) 

4 .  State  of  Alabama  v.  Alonzo  Lvdell  Buroess 
CC  94-781 

Order  of  Court  in  Imposition  of  Sentence 
This  case  was  affirmed  by  the  Alabama  Court 
of  Criminal  Appeals,  Burgess  v.  State.  1997 
WL  509382  (August  22,  1997),  and  affirmed  by 
the  Alabama  Supreme  Court,  Ex  parte  Alonzo 
Lvdell  Burgess.  1998  WL  544930  (August  28, 
1998)  . 

5 .  Ex  parte  Humana  Medical  Corporation ,  CV  88-99 
Trial  Court's  Reply  to  defendant,  Humana 
Medical  Corporation's  Petition  for  Writ  of 
Mandamus,  affirmed  by  Alabama  Supreme  Court, 
597  So. 2d  670  (1992)  . 

6.  State  V.  Billv  Grav  Williams 
CC  88-107 

Order  of  Court  on  Imposition  of  the  Sentence 
of  Life  Imprisonment  without  parole. 
Affirmed,  565  So. 2d  1233  (Ala .Crim.App. 
1990),  cert,  denied.  June  22,  1990,  Alabama 
Supreme  Court,  case  no.  89-1184. 

7.  Williams  v.  Colbert  Countv  Hospital  Board 
CV  78-310 

Affirmed  by  Alabama  Supreme  Court,  404  So. 2d 
641  (1981)  . 


10 


277 


8.  In  re;  The  Matter  of  Michael  Green.  A  Person 
in  need  of  protective  services,  CV  97-519 
Order  , 

Petition  for  Writ  of  Mandamus  denied,  January 

8,  1998,  Alabama  Supreme  Court  case  no. 

1970464. 

Petition  for  Writ  of  Prohibition  denied, 

March  2,  1998,  Alabama  Supreme  Court  case  no. 

1970717. 

9 .  Jackie  Darrvl  Hall  v.  Uniroval  Goodrich  Tire 
Company,  CV  92-06 

Order 

Affirmed  without  opinion,  April  29,  1998; 

Alabama  Supreme  Court  case  no.  1961317 

10.  Waldrep  v.  Blue  Cross  and  Blue  Shield  of 
Alabama.  CV  97-284 

Order 


Part  (2): 

Out  of  the  approximately  3,275  criminal  cases  over  which  I 
have  presided,  the  only  criminal  cases  I  have  identified  in 
which  I  have  been  reversed  in  twenty  years  are  the  four 
listed  below: 

Denton  v.  State.  563  So. 2d  1076  (Ala.Crim.App.  1990). 
The  Appellate  Court  reversed  my  denial  of  the  defendant's 
second  petition  for  writ  of  error  coram  noblis.   On  appeal, 
the  appellate  court  held  that  the  defendant's  prior 
convictions  were  improperly  used  to  enhance  his  sentence 
under  the  Habitual  Felony  Offender  Act  because  the  defendant 
plead  guilty  to  two  drug  offenses  at  the  same  time,  thus  he 
had  only  one  prior  conviction  for  sentencing  purposes.   The 
Alabama  Supreme  Court  affirmed  the  conviction. 

Curtis  V.  City  of  Sheffield,  aff d  502  So. 2d  829  (Ala.Crim. 
App.  1986);  rev'd  and  remanded,  502  So. 2d  833  (Ala.  1986). 
The  Alabama  Supreme  Court  held  that  the  erroneous  admission 
of  testimony  concerning  photoelectric  intoximeter  results 
without  prior  admission  of  documents  was  not  harmless  error 
in  light  of  the  conflicting  testimony  regarding  the 
defendant's  intoxication. 

Ex  Parte  William  Charlie  Campbell,  aff'd  439  So. 2d  718 
(Ala.Crim.App.  1986),  rev'd  439  So. 2d  723  (Ala.  1983).   The 
defendant  was  convicted  of  possession  of  methaqualone  by 
a  jury.   The  Alabama  Supreme  Court  stated  that  the 
conviction  was  unsupported  by  the  evidence  due  to 
conflicting  statements  of  witnesses. 

11 


278 


Reoinal  Meade  v.  State.  381  So. 2d  656  (Ala.Crim.App.  1980). 
The  Appellate  Court  held  that  the  prosecutor's  comments 
during  the  closing  argioment,  on  the  defendant's  failure  to 
testify,  were  impermissible  without  sxibstantive  curative 
jury  instructions  by  the  court. 

Out  of  the  approximately  10,900  civil  cases  over  which  I 
have  presided,  the  only  ones  I  have  identified  in  which  I 
have  been  reversed  or  affirmed  with  significant  criticism 
are  listed  below. 

Aaron  Tucker  v.  General  Motors  Corp.  &  Jim  Bishop,  aff'd  in 
part,  rev'd  in  part  and  remanded,  1998  WL  1787808  (Ala. Civ. 
App.,  April  17,  1998).   In  this  personal  injury  case  the 
Circuit  court  granted  summary  judgment  for  all  defendants. 
On  appeal,  the  court  held  that  the  spoliation  of  evidence 
doctrine  does  not  apply  to  the  plaintiff's  failure  to 
preserve  the  car  forming  the  subject  matter  of  the  lawsuit. 

Citv  of  Muscle  Shoals  v.  Hoaan.  703  So. 2d  400  (Ala. 1997), 
Residents  brought  suit  against  city  to  challenge  rezoning. 
Circuit  court  held  that  the  rezoning  was  arbitrary,  and  the 
appellate  court  ruled  that  trial  court  had  substituted  its 
judgment  for  that  of  the  city  council  since  the  soundness  of 
the  zoning  classification  was  fairly  debatable. 

Goodloe  v.  LaRoche  Industries.  Inc..  686  So. 2d  335  (Ala. 
Civ. App.  1996).   Dependents  sued  decedent's  employer 
claiming  an  entitlement  to  the  death  benefits  under  Alabama 
worlcers '  compensation  laws.   The  Circuit  court  granted 
summary  judgment  in  favor  of  the  employer  and  the  appellate 
court  reversed,  holding  that  the  son  was  at  least  a  partial 
dependent . 

Tennessee  Vallev  Authority  v.  Kimbrell.  et  al . .  681  So. 2d 
580  (Ala. Civ. App.  1996) .  The  employer  appealed  the  finding 
that  the  claimant  was  entitled  to  unemployment  compensation. 
The  Circuit  court  affirmed.   The  appellate  court  held  that 
the  claimant  had  voluntarily  left  her  employment  without 
good  cause  when  she  refused  to  take  a  transfer  pursuant  to  a 
collective  bargaining  contract  and  was  not  entitled  to 
benefits . 

Strait  V.  Strait,  aff'd  in  part,  rev'd  in  part  and  remanded, 
686  So. 2d  1230  (Ala. 1996).   In  a  will  contest,  the  Circuit 
court  held  that  an  antenuptial  agreement  signed  by  the 
decedent's  widow  was  valid  and  enforceable  and  that  the  will 
was  not  revoked.   Therefore,  the  Circuit  court  granted 
svimmary  judgment  in  favor  of  the  proponent  of  the  will.   The 
appellate  court  held  that  the  question  whether  testator 
revoked  his  will  was  a  question  that  precluded  sumiiiary 
judgment.   The  appellate  court  affirmed  the  Circuit  court's 

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granting  of  the  proponent's  motion  for  siammary  judgment  on 
the  issue  of  the  validity  of  the  antenuptial  agreement. 

Uniroval  Goodrich  Tire  Co.  v.  Hall.  681  So. 2d  126  (Ala. 
1996)  .   The  Circuit  court  entered  judgment  for  the  plaintiff 
on  a  jury  verdict.   The  appellate  court  held  that  Circuit 
court  erred  in  not  instructing  jury  on  defense  of  the 
contributory  negligence,  although  the  trial  court  followed 
pattern  jury  instructions. 

Choat  V.  Kawasaki  Motors  Corp..  675  So. 2d  879  (Ala. 1996). 
The  Mother  of  deceased  sued  the  jet  ski  manufacturer  for 
wrongful  death.   The  Circuit  court  granted  summary  judgment 
for  the  defendant.   The  appellate  court  held  that  a  jet  ski 
was  a  vessel  for  purposes  of  invoking  maritime  jurisdiction 
but  that  maritime  law  does  not  prevent  recovery  under  the 
Alabama  Wrongful  Death  Act. 

Farmers  Home  Gin  v.  Christopher.  668  So. 2d  796  (Ala. Civ. 
App.  1995) .   The  Circuit  court  awarded  benefits  under 
Alabama's  worker's  compensation  act.   The  appellate  court 
held  that  family  health  insurance  premiums  gratuitously  paid 
by  the  employer  were  not  to  be  included  in  calculating  the 
worker's  average  post- injury  weekly  wage  pursuant  to 
statute. 

Smith  V.  Savage.  655  So. 2d  1022  (Ala. Civ. App. 1995) .   This 
plaintiff  sued  the  defendant  for  a  wrongful  detainer  on 
personal  property  and  the  defendant  counterclaimed  for  rent 
past  due.   The  Circuit  court  dismissed  the  case  for 
failure  of  the  plaintiff  to  appear  and  prosecute  the  case 
when  the  same  was  called  for  trial.   The  appellate  court 
held  that  the  trial  court  abused  its  discretion  in 
dismissing  the  action  for  want  of  prosecution  based  on  the 
pro-se  plaintiff's  failure  to  appear  due  to  a  flat  tire. 
The  appellate  court  also  directed  me  to  reconsider  my  grant 
of  a  protective  order  to  a  party  that  did  not  file  a 
statement  of  attempt  to  resolve  discovery  dispute  and  to 
reconsider  my  decision  to  strike  a  claim  for  punitive 
damages,  as  the  pleadings  gave  notice  of  the  claim. 

Hanback  v.  Moselev.  aff'd  in  part,  revd  in  part  and 
remanded,  648  So. 2d  600  (Ala. Civ. App. 1994) .   After  a 
foreclosure  sale,  the  Circuit  court  allowed  redemption  for 
a  specified  sum.   The  appellate  court  held  that  the  Circuit 
court  should  have  allowed  interest. 

Willinaham  v.  United  Insurance.  642  So. 2d.  428  (Ala.  1994): 
This  was  a  case  of  first  impression  concerning  the 
insurability  of  foster  children.   The  plaintiffs  sued  the 
insurance  ccinpany  for  fraud.   The  Circuit  court  ruled  in 
favor  of  the  defendant  on  a  motion  for  summary  judgment. 

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The  Supreme  Court  ruled  that  the  issue  of  fraud  should  have 
been  submitted  to  a  jury. 

Kellev  V.  G.UB.MK.  Constructors.  636  So. 2d.  454  (Ala. Civ. 
App .  1994).   A  widow  sued  the  deceased's  employer  for  death 
benefits  under  the  Alabama  Worker's  Compensation  Act.   The 
Circuit  court  denied  the  claim.   The  appellate  court  held 
that  a  statute  dealing  with  preexisting  infirmities  did  not 
apply  and  the  claim  should  not  have  been  denied. 

Douglass  v.  Jones  &  Douglass.  628  So. 2d.  940  (Ala. Civ. App. 
1993)  .   This  was  a  will  contest  in  which  the  Circuit  court 
awarded  possession  of  property  to  beneficiaries  under  will. 
The  appellate  court  held  that  the  beneficiaries  did  not  have 
standing  to  bring  the  ejectment  suit. 

Norris  v.  Wal-Mart  Stores  628  So. 2d.  475  (Ala.  1993).   In 
this  premises  liability  action,  the  Circuit  court  entered  a 
directed  verdict  for  the  store.   On  appeal,  the  court  held 
that  the  question  of  whether  the  store  breached  its  duty  by 
storing  heavy  boxes  on  shelves  without  rails  was  a  jury 
question. 

King  v.  Colbert  Countv.  aff'd  in  part,  rev'd  in  part  and 
remanded,  620  So. 2d.  623  (Ala.  1993).   A  prisoner  who 
received  an  electric  shock  in  the  county  jail  sued  for 
damages.   The  Circuit  court  ruled  in  favor  of  the 
defendants.   The  appellate  court  held  that  the  county  had 
duty  to  maintain  the  jail  and  that  issues  of  fact  regarding 
liability  precluded  summary  judgment. 

Hjghfield  Alignment  Service  v.  Scott.  624  SO. 2d.  630  (Ala. 
Civ. App.  1993).   In  a  worker's  compensation  case,  the 
Circuit  court  held  that  the  employer  intentionally 
interfered  with  payment  of  the  employee's  medical  bills  and 
awarded  double  benefits.   The  appellate  court  held  that 
the  failure  to  pay  employee's  medical  bills  did  not  warrant 
the  award  of  double  benefits. 

Robertson  v.  Travelers  Inn.  613  So. 2d.  376  (Ala.  1993).   In 
this  slip  and  fall  case,  the  Circuit  court  entered  summary 
judgment  for  the  defendant.   The  appellate  court  held  that 
a  question  of  fact  precluded  summary  judgment. 

Danny's  Inc..  et  al.  v.  Citv  of  Muscle  Shoals.  620  So. 2d.  8, 
(Ala.  1992).   The  Circuit  court  upheld  a  local  ordinance 
imposing  a  local  tax  on  sale  of  beer.   The  appellate  court 
held  that  the  Alabama  Uniform  Beer  Tax  preempted  local 
ordinances  imposing  local  taxes  on  beer. 

R&D  Trucking  Company  v.  Carter.  59^  So. 2d.  1040  (Ala. 
1992)  .   The  Circuit  court  granted  an  injunction  against 

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an  anticipated  nuisance,  pursuant  to  a  statute,  for  a 
resident  living  near  a  proposed  truck  terminal.   The 
appellate  court  held  that  the  truck  terminal  was  not  a 
nuisance  per  se  and  that  residents  could  bring  suit  after 
the  terminal  was  completed  and  operating. 

Ex  parte  Pomerantz.  Sr.  &-Ouad  Cities  v.  Green,  writ  of 
mandamus,  590  So. 2d  903  (Ala.  1991).   The  Circuit  court 
denied  a  corporation's  request  to  subpoena  documents  from 
non-parties.   The  appellate  court  held  that  the  corporation 
was  entitled  to  the  information. 

Haines  v.  Tonnina,  579  So. 2d  1308  (Ala.  1991).   This  was  a 
suit  brought  by  a  purchaser  of  land  claiming 
misrepresentation  regarding  the  marketability  of  title.   The 
Circuit  court  entered  judgment  for  the  purchasers.   The 
appellate  court  held  that  the  limitations  period  for  the 
action  alleging  misrepresentation  had  accrued  thirteen  years 
earlier,  when  recordation  of  the  deed  provided  constructive 
notice  to  the  purchaser  of  the  vendor's  lack  of  marketable 
title. 

Morrow  v.  Town  of  Littleville.  576  So. 2d  210  (Ala.  1991). 
A  former  employee  sued  the  town  after  being  discharged  from 
employment.   The  Circuit  court  entered  summary  judgment  for 
the  defendant.   The  appellate  court  held  that  the  claim  that 
the  town  failed  to  follow  the  policy  in  its  employee 
handbook  was  a  contract  claim,  making  a  two-year  statute  of 
limitations  applicable  and  that  the  employee's  federal  civil 
rights  claim  was  also  covered  by  a  two-year  statute  of 
limitations . 

Beinlich  v.  Campbell.  567  So. 2d  852  (Ala.  1990) .   An 
executrix  sued  a  decedent's  long-time  friends  claiming  they 
obtained  possessions  of  the  deceased  by  undue  influence. 
The  Circuit  court  entered  judgment  for  the  friends.   On 
appeal,  the  court  held  that  a  genuine  issue  of  material  fact 
existed,  precluding  summary  judgment. 

Fries  V.  Correctional  Eqxiipment.  Inc.  v.  Con-Tech.  Inc..  559 
So. 2d  557  (Ala.  1990).  A  former  employer  subcontractor  sued 
a  former  employee  for  breach  of  contract,  intentional 
interference  with  contractual  relations,  and  open  account. 
The  Circuit  court  entered  a  default  judgment  against  the 
defendant.   On  appeal,  the  court  held  that  the  new  employer 
contractor  established  meritorious  defenses  to  allow  relief 
from  the  default  judgment. 

Proctor  &  Gamble  v.  Staples.  551  So. 2d  949  (Ala.  1989).   The 
widow  of  a  deceased  employee  sued  the  employer's  parent 
corporation  for  negligently  performing  safety  inspections. 
The  Circuit  court  entered  a  judgment  for  the  plaintiff.   The 

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appellate  court  reversed,  holding  that  the  parent 
corporation  did  not  undertake  a  duty  to  provide  a  safe 
workplace  by  providing  safety  literature. 

Reynolds  Metals  Co.  v.  Mavs.  547  So. 2d  518  (Ala.  1989).   In 
a  defamation  action  against  a  former  employer,  the  Circuit 
court  entered  judgment  on  the  jury  verdict  for  the  employee. 
On  appeal,  the  Alabama  Supreme  Court  held  that  the 
defamation  suit  was  preempted  by  the  Labor  Management 
Relations  Act.   On  writ  of  certiorari  to  the  United  States 
Supreme  Court,  108  S.Ct.  2814,  the  Supreme  Court  vacated  the 
Alabama  Supreme  Court  judgment,  holding  that  the  Labor 
Management  Act  did  not  apply.   On  remand,  the  Alabama 
Supreme  Court  then  held  that  no  publication  occurred. 

Ironworkers  Local  Union  No.  477  and  Suddith  v.  Holt.  545 
So. 2d  816  (Ala.Civ.App.  1989).   A  unionmember  sued  his  union 
for  malicious  prosecution.   The  Circuit  court  entered  a 
judgment  for  the  plaintiff  on  the  jury  verdict.   The 
appellate  court  held  that  the  evidence  did  not  support  a 
malicious  prosecution  cause  of  action. 

Group  W  Cable.  Inc.  et  al.  v.  Garais.  545  So. 2d  819  (Ala. 
Civ.App.  1989).   A  former  employee  sued  the  employer  for 
vacation  benefits.   The  district  court  entered  judgment  for 
the  defendant.   On  trial  de  novo  in  the  Circuit  court,  the 
Circuit  court  held  that  the  plaintiff  was  entitled  to 
vacation  pay.   The  appellate  court  held  that  the  plaintiff 
was  not  so  entitled. 

Fuller  V.  Tractor  &  Equipment  Co..  Inc..  545  So. 2d  757  (Ala. 
1989)  .   The  plaintiff  sued  the  seller  of  a  front  end  loader 
for  negligent  installation  of  the  air  conditioner.   The 
Circuit  court  granted  summary  judgment  for  the  defendant. 
On  appeal,  the  court  held  that  the  sale  to  plaintiff's 
employer  by  the  defendant  created  a  nondelegable  duty  to 
ensure  that  the  air  conditioner  was  installed  in  a 
reasonable  manner  and  that  a  scintilla  of  evidence  of 
proximate  cause  precluded  summary  judgment. 

Clark  V.  Leslie.  537  So. 2d  25  (Ala.Civ.App.  1988).   The 
Circuit  Court  granted  a  paternal  grandmother's  petition  to 
enforce  her  visitation  rights  from  a  prior  decree.   The 
appellate  court  held  that  the  grandmother  was  not  entitled 
to  visitation  rights. 

Christopher  v.  Heimlich.  523  So. 2d  466  (Ala.Civ.App.  1988). 
A  purchaser  of  land  sued  the  surveyor  of  the  land.   The 
Circuit  court  entered  a  summary  judgment  for  the  defendant 
on  the  contract  and  negligence  counts,  directed  a  verdict 
£or  tht  detendant  on  the  incentionai  and  reckless 
misrepresentation  counts  and  instructed  the  jury  that  it 

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could  only  award  actual  damages.   The  jury  returned  a 
verdict  for  $5,000.00  and  the  Circuit  court  entered  a 
judgment  for  damages  on  the  jury  verdict  for  the  plaintiff 
in  that  amount.   The  appellate  court  held  that  the  jury  had 
disregarded  trial  court's  instruction  by  assessing  punitive 
damages  (actual  damages  were  $2,300.00)  and  the  case  was 
remanded  for  another  trial. 

Williams  v.  Michelin  Tire  Corp..  496  So. 2d  743  (Ala.  1986). 
An  employee  and  his  wife  sued  his  employer  and  numerous 
others  for  an  injury  when  a  recapped  tire  on  the  truck 
plaintiff  was  driving  blew  out.   The  Circuit  court  granted  a 
motion  to  dismiss  for  the  employer  and  the  tire  manufacturer 
and  siommary  judgment  for  the  remaining  defendants.   The 
appellate  court  held  that  the  recapper  could  be  liable,  thus 
precluding  summary  judgment  against  this  defendant. 

Terry  v.  Citv  of  Sheffield.  484  So. 2d  389  (Ala.  1986).   The 
Circuit  court  entered  a  directed  verdict  in  favor  of  the 
city  in  a  suit  for  negligent  construction  of  sewers.  The 
appellate  court  held  that  although  the  plaintiff  had  no 
expert  witness,  the  jury  could  conclude  that  the  plaintiffs' 
property  damage  was  caused  by  the  negligence  of  the  city. 

Bullinaton  v.  Nichols  and  Tank.  450  So. 2d  121  (Ala.Civ.App. 
1984) .   The  maternal  grandmother  filed  a  custody  petition 
and  the  Circuit  court  granted  custody  to  the  petitioner.   On 
appeal,  the  court  held  that  since  no  material  change  in 
circ\imstances  was  shown,  the  maternal  grandmother  not 
entitled  to  custody. 

James  as  Director  of  Department  of  Industrial  Relations  and 
Southern  Metals  Co.  v.  Riddle.  432  So. 2d  563  (Ala.Civ.App. 
1984) .   After  denial  of  unemployment  benefits  by  DIR,  the 
Circuit  court  awarded  stipulated  benefits.   The  appellate 
court  held  that  the  case  would  be  remanded  to  allow  the 
claimant  to  present  additional  evidence  that  he  was 
available  for  work. 

Jackson  v.  Davis.  398  So. 2d  242  (Ala.  1981)  .   In  a  will 
contest,  the  Circuit  court  directed  a  verdict  for  all  the 
proponents  of  the  will  except  one.   On  appeal,  the  court 
held  that  no  evidence  of  wrongdoing  by  the  remaining 
proponent  existed. 


Part  (3) 


David  McVav  v.  Civil  Service  Board  of  the  Citv  of 
Muscle  Shoals.  1998  WL  67634;  Colbert  County  case 
numLGi  CV  96-311. 


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284 


Parker  v.  State.  610  So. 2d  1171  (Ala.Crim.App. 
1992);  Colbert  County  case  number  CC  88-105. 

Parker  v.  State.  587  So. 2d  1072  (Ala.Crim.App. 
1991);  Colbert  County  case  number  CC  88-105. 

Parker  v.  State.  Court  Order  on  Petition  for  Rule 
32  hearing.  (Copy  attached  hereto) . 

Coulter  V.  State.  438  So. 2d  336  (Ala.Crim.App. 
1983)  . 

Burgess  v.  State.  1997  WL  509382  (Ala.Crim.App.); 
affirmed,  1998  WL  544930  (Alabama  Supreme  Court) . 

State  V.  Billy  Gray  Williams.  565  So. 2d  1233 
(Ala.Cr.App.  1990);  Colbert  County  case 
number  CC  88-107. 

Question  16:    Public  Office:  State  (chronologically)  any  public 
offices  you  have  held,  other  that  judicial 
offices,  including  the  terms  of  service  and 
whether  such  positions  were  elected  or  appointed. 
State  (chronologically)  any  unsuccessful 
candidacies  for  elective  public  office. 

Answer:    None. 

Question  17:    Legal  career: 

a.    Describe  chronologically  your  law  practice 

and  experience  after  your  graduation  from  law 
school  including; 

1.  whether  you  served  as  clerk  to  a  judge, 
and  if  so,  the  name  of  the  judge,  the 
court,  and  the  dates  of  the  period  you 
were  a  clerk. 

Answer:    I  have  never  served  as  a  clerk  to  a  judge. 

2.  whether  you  practiced  alone,  and  if  so, 
the  addresses  and  dates. 

Answer:    I  have  never  practiced  alone. 

3.  the  dates,  names  and  addresses  of  law 
firms  or  offices,  companies  or 
governmental  agencies  with  which  you 
have  been  connected,  and  the  nature 

of  youi  connect ic-,  with  each. 


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Answer:    Upon  graduation  from  the  University  of  Copenhagen, 
School  of  Law,  June  18,  1969,  I  attended  the 
University  of  Alabama,  School  of  Law  and  was 
awarded  a  Masters  of  Comparative  Law  Degree  on 
May  13,  1970.   I  then  returned  to  Copenhagen  and 
practiced  as  an  associate  with  the  law  firm  of 
DRAGSTED,  KROMANN,  NlfjRREGAARD  &  FRIIS, 
Vognmagergade  7,  1120  K(t)benhavn  K  (Copenhagen  K) 
Denmark  from  August  1,  1970  until  July  31,  1971. 

From  September  1,  1970  until  May,  1971  I  was  an 
adjunct  faculty  member  at  the  University  of 
Copenhagen,  School  of  Law,  Procedure  (Universitets 
manudukt(|)r  i  opgaverettelse  i  proces)  . 

In  September,  1971,  I  returned  to  the  University 
of  Alabama,  School  of  Law,  and  enrolled  in  a 
regular  Juris  Doctor  Degree  program  and  was 
awarded  my  Juris  Doctorate  in  May  of  1973. 

Upon  admission  to  the  Alabama  State  Bar  in  October 
1973,  I  began  practicing  law  with  the  Law  Firm  of 
JOHNSON  &  JOHNSON,  101  1/2  East  Sixth  Street, 
Tuscumbia,  Alabama.   My  sole  law  partner  was  my 
husband,  William  T.  Johnson,  Jr.,  who  now  is  a 
solo  practitioner. 

while  in  private  practice  in  Tuscumbia,  I  served 
as  Municipal  Judge  for  the  City  of  Muscle  Shoals, 
Alabama,  35660,  from  January  3,  1978  until  I  took 
office  as  Circuit  Judge  for  the  31st  Judicial 
Circuit,  on  January  16,  1979. 

I  was  elected  Circuit  Judge  for  the  31st  Judicial 
Circuit  in  1978  and  assumed  that  office  January 
16,  1979.   I  have  served  in  that  capacity 
continuously  until  the  present. 

b.    1.   What  was  the  general  character  of  your 
practice,  dividing  it  into  periods  with 
dates  if  its  character  has  changed  over 
the  years? 

Answer:   While  being  associated  with  the  law  firm  of 
DRAGSTED,  KROMANN,  N(|)RREGAARD  &  FRIIS,  I  was 
generally  working  with  one  senior  partner,  Peter 
Friis.   I  basically  practiced  contract  law  with 
emphasis  on  sole  distributorship  agreements. 

While  in  private  practice  with  the  law  firm  of 
JOHNSON  &  JOH^'SON,  I  Wau.-   iuvclved  xA    .-ht  general 
practice  of  law.   I  practiced  criminal  defense 


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law.   I  closed  residential  real  estate  loans.   I 
practiced  some  domestic  law  and  was  involved  in 
some  civil  litigation  as  well  as  some  probate 
matters.   I  did  not  specialize  in  any  particular 
area. 

2.   Describe  your  typical  former  clients, 

and  mention  the  areas,  if  any,  in  which 
you  specialized. 

Answer:    The  law  firm  of  DRAGSTED,  KROMANN,  N^RREGAARD  & 
FRIIS,  represented  Gutenberghus ,  a  large 
publishing  company  in  Copenhagen,  which  published 
both  newspapers  and  magazines .   I  was  mainly 
involved  with  that  client. 


Answer; 


While  practicing  with  the  law  firm  of  JOHNSON  & 
JOHNSON  I  represented  several  mortgage  companies, 
private  developers,  individuals  with  warranty 
claims,  persons  accused  of  criminal  offenses  and 
did  some  collections  for  various  financial 
institutions.   I  also  did  title  searches  and 
prepared  deeds  for  individuals. 

c.    1.    Did  you  appear  in  court  frequently, 
occasionally  or  not  at  all?   If  the 
frequency  of  your  appearances  in  court 
varied,  describe  each  such  variance, 
giving  dates . 

I  appeared  in  court  occasionally  when  I  was  in 
private  practice  as  my  practice  of  law  was 
concentrated  in  the  area  of  real  estate. 


2.  What  percentage  of  these  appearances  was 
in: 

a)  Federal  courts; 

b)  State  courts  of  record; 

c)  Other  courts; 

Answer:    Federal  courts:   None. 

State  courts  of  record:   Fifty  percent. 
Other  courts:   Fifty  percent. 

3.  What  percentage  of  your  litigation  was: 

a)  Civil; 

b)  Criminal. 


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Answer:    Civil:   Eighty- five  percent. 
Criminal:   Fifteen  percent. 

4.  State  the  number  of  cases  in  courts  of 
record  you  tried  to  verdict  or  judgment 
(rather  than  settled) ,  indicating 

whether  you  were  sole  counsel,  chief 
counsel  or  associate  counsel. 

Answer:   Fifty  (50),  for  which  the  majority  of  these  cases 
I  was  sole  counsel . 

5.  What  percentage  of  these  trial  was: 

a)  jury; 

b)  non-jury. 

Answer:    Jury:   Ten  percent. 

Non-jury:   Ninety  percent. 

Question  18:   Litigation:   Describe  the  ten  most  significant 
litigated  matters  which  you  personally  handled. 
Give  the  citations,  if  the  cases  were  reported, 
and  the  docket  number  and  date  if  unreported. 
Give  a  capsule  summary  of  the  substance  of  each 
case.   Identify  the  party  or  parties  whom  you 
represented;  describe  in  detail  the  nature  of 
your  participation  in  the  litigation  and  the 
final  disposition  of  the  case.   Also  state  as 
to  each  case: 

a)  the  date  of  the  representation; 

b)  the  name  of  the  court  and  the  name  of  the 
judge  before  whom  the  case  was  litigated;  and 

c)  the  individual  name,  addresses,  and 
telephone  numbers  of  co-counsel  and  of 
counsel  for  each  of  the  other  parties. 

Answer:    1.    State  of  Alabama  v.  Wanda  Jovce  White.  1974- 
1975.   I  was  associated  as  co-counsel  in  this 
domestic  abuse  case.  Mrs.  White,  my  client,  was 
accused  of  murdering  her  husband.   Mrs.  White  had 
left  her  husband  because  she  "could  not  stand  his 
beatings  anymore" .   She  returned  the  day  of  her 
husband's  death  and  they  confronted  each  other. 
The  husband  pulled  a  gun,  threatened  his  wife's 
mother  and  forced  his  wife  into  a  car.   As  they 
proceeded  in  the  car  the  husband  continued  to  hit 
his  wife,  pull  her  hair  and  threatened  to  kill 
her.   The  husband  held  his  wife  by  her  hair  and 
had  one  leg  on  her  shoulder  when  his  gun  fell  out 
of  his  pcckei. .   She  picked  it  ap,  Lold  him  to 
leave  her  alone  and  in  response  her  husband  told 

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her  he  was  going  to  kill  her.   He  made  a  step 
towards  her  and  as  he  did  she  shut  her  eyes  and 
started  firing  the  gun.   She  testified  that  she 
was  scared,  that  she  did  not  mean  to  kill  him  and 
that  she  thought  she  was  firing  over  her  head. 
The  gun  emptied  and  the  husband  died  from  the 
bullet  wounds.   We  obtained  an  acc[uittal  at  jury 
trial  based  on  her  plea  of  self-defense. 

Co- counsel:  Murray  W.  Beasley 

105  North  Main  Street 
Tusciimbia,  Alabama  35674 
(256)  383-6691 

District  Attorney:  Charles  McCutcheon  (deceased) . 

Circuit  Court  of  Colbert  County:   Judge  Clifford 
Delony  (deceased) . 

2 .    Wanda  Jovce  White  v.  Atlantic  American  Life 
Insurance  Co. . 1975- 1976 ,  case  no.  2532YL:   I 
again  represented  Mrs.  White  when  her  deceased 
husband's  life  insurance  company  refused  to  pay 
her  as  beneficiary  of  his  life  insurance  policy. 
The  insurance  company  claimed  that  Mr.  White's 
death  was  not  "accidental".   The  policy  provided 
in  pertinent  parts  as  follows:   "The  company  will 
pay  the  benefits  named  in  this  policy  for  any  loss 
resulting  directly,  independently,  and  exclusively 
of  all  other  causes  from  bodily  injuries  effected 
solely  through  external  and  accidental  means...." 
The  trial  court  held  that  Mr.  White's  death  was 
accidental  applying  the  accepted  legal  principle 
that  an  accident  is  an  occurrence  that  is  not  to 
be  expected  or  anticipated  in  the  light  of  common 
experience  and  of  the  existing  circumstances  and 
such  determination  is  made  from  the  standpoint  of 
the  insured.   The  fact  that  the  beneficiary  kills 
the  insured  in  what  she  supposes  is  self-defense 
does  not  mean  that  the  killing  is  not  an  accident. 
The  case  ended  in  a  judgment  in  our  client's 
favor.    That  Alabama  Supreme  Court  decision  is 
reported  at  332  So. 2d  389  (Ala.  1976). 

Co-counsel:   Murray  W.  Beasley 

105  North  Main  Street 
Tuscumbia,  Alabama  35674 
(256)  383-6691 

Opposing  counsel:  Keith  M.  Collier 
Suitva  412 
First  Southern  Bank  Building 

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102  South  Court  Street 
Florence,  Alabama  35630 
(256)  766-5852. 

Circuit  Court  of  Colbert  County:   Judge  Clifford 
Delony  (deceased) . 

Alabama  Supreme  Court. 

Gordon  MacLean  v.  Citv  of  Muscle  Shoals. 
1974,  Circuit  court  case  no.:   CL16759.   The 
plaintiff  sued  the  City  of  Muscle  Shoals,  Alabama 
for  damages  resulting  from  sewage  overflow  in  his 
residence.   Flood  waters  from  storm  sewers  had 
infiltrated  the  sewage  system  causing  the 
overflow.   The  plaintiff's  claim  was  based  on  the 
theory  that  the  City  impliedly  agreed  by 
furnishing  utility  services  to  the  plaintiff,  to 
remove  sewage  from  his  residence  and  not  to  allow 
sewage  overflow  in  his  residence.   I  was  co- 
counsel  for  the  plaintiff.   This  case  ended  in  a 
jury  verdict  for  the  plaintiff. 


Co-Counsel:   William  T.  Johnson,  Jr. 
103  East  Fifth  Street 
Tuscumbia,  Alabama  35674 
(256)383-5082 

Opposing  counsel:   Vincent  McAlister 

Almon,  McAlister,  Baccus  &  Hall 
P.O.  Box  148 

Tuscximbia,  Alabama  35674 
(256)383-4448 

John  D.  Clement,  Jr. 
201  North  Water  Street 
Tuscumbia,  Alabama  35674 
(256)383-6128 

Circuit  Court  of  Colbert  County:   Judge  Clifford 
Delony  (deceased) 

Brenda  Bearden  v.  Factory  Outlet  Mobile  Homes. 
1974,  Colbert  County  case  no.:   2254YL. 
This  case  involved  a  claim  by  a  purchaser  of  a  new 
mobile  home  against  the  seller  for  damages  for 
breach  of  an  implied  warranty  of  merchantability 
and  fitness  for  use  as  a  home.   The  home  was 
defective  in  that  the  roof  leaked  resulting  in 
•■'/ater  damage  throughout  the  home  and  the  washer 
and  dryer  did  not  work.   I  represented  the 

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plaintiff  who  received  a  jury  verdict  in  her 
favor. 

Opposing  counsel:  William  M.  Bouldin 

Guin,  Bouldin  &  Alexander 
P.O.  Box  940 

Russellville,  Alabama  35653 
(256)332-2552 

Circuit  Court  of  Colbert  County:   Judge  Clifford 
Delony  (deceased) . 

5.  Libbv  Trousdale  v.  James  Trousdale.  CE  9080- 
YE6464,  1974-1975.   This  case  involved  a  divorce 
from  a  second  marriage  for  both  parties.   The  wife 
sought  a  share  of  the  marital  assets  solely  in  the 
husband's  name  and  attorney's  fees  on  the  basis  of 
the  value  of  the  services  she  had  rendered  the 
husband  during  the  marriage.   I  represented  the 
wife  who  received  a  judgment  for  her  attorney's 
fees  and  an  equitable  share  of  the  husbands ' s 
assets . 

Opposing  counsel:   John  D.  Clement 

201  North  Water  Street 
Tuscumbia,  Alabama  35674 
(256)383-6128 

District  Court  of  Colbert  County:   Judge  Jerry  M. 
Vanderhoef  (Now  Administrative  Law  Judge  for  the 
Social  Security  Administration) . 

6.  Charles  McCullouoh  v.  Tommy  and  Bill  McKee, 
1974,  Circuit  Court  case  no:   CV  74L-357.   The 
defendants  had  ta)cen  out  a  warrant  for  the 
plaintiff's  arrest.   The  criminal  case  against  the 
plaintiff  was  later  dismissed  for  lac)t  of  probable 
cause.   Plaintiff  filed  a  malicious  prosecution 
case  against  the  defendants  based  on  the  dismissal 
of  the  criminal  case.   The  defendants  relied  on 
the  defense  of  "advice  of  counsel".   I 
represented  the  plaintiff.   The  case  resulted  in  a 
jury  verdict  for  the  defendants. 

Opposing  counsel:   John  Higginbotham 

Higginbothaun,  Whitten  & 
McCutcheon 
102  East  Dr.  Hicks  Blvd. 
Florence,  Alabama  35630 
(256)766-0284 


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circuit  Court  of  Lauderdale  County:  Judge  Edward 
Tease  (now  Administrative  Law  Judge  for  Social 
Security  Administration) . 

7.  Margie  J.  Graves  v.  Jack  L.  Graves.  338  So. 2d 
410,  cert,  denied.  338  So. 2d  412  (Ala. 1976). 
Husband  sought  modification  of  alimony  after 
children  had  reached  age  of  majority  and  the 
former  wife  obtained  a  master's  degree.   The  court 
modified  the  payment  of  alimony  in  the  husband's 
favor.   The  wife  appealed  and  the  case  was 
affirmed.   I  represented  the  husband. 

Opposing  counsel:   Murray  W.  Beasely 

105  North  Main  Street 
Tuscumbia,  Alabama  35674 
(256)  383-6691 

Circuit  Court  of  Colbert  County:  Judge  James  E. 

Smith  (deceased) . 

Alabeuna  Court  of  Civil  Appeals 

8.  Jerry  Riddle  v.  Bettv  Riddle.  1977,  DR  77-44 
Colbert  County  Court.   This  was  a  divorce  action 
where  I  represented  the  husband.   He  sought 
custody  of  the  parties'  only  child  who  was  less 
than  7  years  old.   He  sought  to  rebut  the  legal 
presumption  then  existing  in  favor  of  the  wife 
under  the  "tender  years  doctrine"  which  has  since 
been  abolished.   The  wife  received  custody  of  the 
parties'  child. 

Opposing  counsel:   James  L.  Hunt 
P.O.  Box  8 

Tuscumbia,  Alabama  35674 
(256)383-2170 

Colbert  County  District  Court:  Judge  Jerry  M. 
Vanderhoef  (now  Administrative  Law  Judge  for 
Social  Security  Administration) . 

9.  Fav  Francis  v.  Harrv  Francis.  1977:   DR  77- 
341.   Divorce  action  in  which  wife  sought  award  of 
portion  of  husband's  military  pension  benefits. 
The  wife  received  a  portion  of  these  benefits  by 
the  decree  but  the  parties  remarried  shortly  after 
the  divorce.   I  represented  the  wife. 

Opposing  counsel:   Carl  Stolsworth  (deceased) 

Circuit  Court  of  Colbert  County:   Judge  Clifford 
Delony  (deceased) . 

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292 


10.   Rav  Columbus  Garais  v.  Edna  Earl  Garois. 
367  So. 2d  476  (Ala.Civ.App.  1978).   Husband 
appealed  from  an  Alabeima  Circuit  Court's 
reinstatement  of  alimony  which  had  been  texnninated 
by  a  Florida  court  in  a  suit  filed  by  the  wife  in 
Florida.   The  Alabama  Court  of  Civil  Appeals  held 
that  the  Florida  decree  terminating  alimony  was 
entitled  to  full  faith  and  credit  by  the  Alabama 
courts  and  further  held  that  the  wife's  remedy 
would  have  been  to  appeal  the  Florida  decree.   I 
represented  the  husband  (appellant)  in  both  the 
trial  court  and  the  Alabama  Court  of  Civil 
Appeals. 

Opposing  counsel:   Robert  M.  Hill,  Jr. 
Hill  &  Young 
215  West  Alabeima  Street 
Florence,  Alabama  35630 
(256)767-0700 

Circuit  Court  of  Lauderdale  County:  Judge  Edward 
Tease  (now  Administrative  Law  Judge  for  Social 
Security  Administration) . 
Alabama  Court  of  Civil  Appeals. 

Question  19:    Legal  Activities:   Describe  the  most  significant 
legal  activities  you  have  pursued,  including 
significant  litigation  which  did  not  progress  to 
trial  or  legal  matters  that  did  not  involve 
litigation.   Describe  the  nature  of  your 
participation  in  this  question,  please  omit  any 
information  protected  by  the  attorney  client 
privilege  (unless  the  privilege  has  been  waived.) 

Answer:    Through  my  membership  in  the  Alabama  Judicial 

System  Study  Commission  as  well  as  participation 
in  many  conferences  I  have  studied  legal  issues  as 
they  emerged  such  as  victims'  rights,  bioethical 
issues,  alternative  sentencing  and  community 
corrections  programs.   I  have  also  lectured  on 
various  legal  topics.   As  a  general  jurisdiction 
court  in  a  rural  area,  I  have  basically  been 
required  to  keep  my  legal  knowledge  current  on  all 
areas  of  the  law. 

I  have  been  a  member  of  the  Alabama  Supreme 
Court's  Court  Security  Commission  since  December 
of  1997.  The  Commission  devised  and  recommended 
the  security  plan  to  the  Alabama  Supreme  Court 
which  the  Court  adopted  on  July  14,  1998. 

I  attended  the  National  Judicial  College  in  Reno, 
Nevada,  November  28  -  December  2,  1983,  and 

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received  a  Certificate  of  Participation  in  the 
National  Conference  of  the  Judiciary  on  the  Rights 
of  victims  of  Crime.  December  2,    1983.   This  was  a 
national  conference  on  the  rights  of  victims  of 
crimes.   The  judicial  participants  were  from  all 
fifty  states.   Victims  of  crimes  testified  before 
us  regarding  their  concerns  with  the  criminal 
justice  system  as  it  pertained  to  victims'  rights. 
As  a  result  of  the  victims'  testimony,  the 
participating  judges  prepared  a  consensus 
statement  encouraging  victims'  rights  legislation 
in  all  fifty  states,  including  crime  victims  court 
attendance,  victims'  impact  reports,  automatic 
imposition  of  restitution  to  crime  victim's, 
hearing  notifications,  separate  waiting  rooms  for 
victim  witnesses,  and  others. 

I  attended  the  National  Judicial  College  and  the 
Alabama  Judicial  College,  May  23  -  May  27,  1988, 
and  received  a  Certificate  of  Completion  and  a 
Certificate  of  Recognition  for  serving  as  a 
Discussion  Leader  on  the  Alabama  Sentencing 
Institute.  May  27,  1988.    This  conference  dealt 
with  the  issue  of  sentencing  disparity  among 
judges  across  the  state  for  criminal  defendant's 
with  similar  charges.   The  purpose  of  the 
conference  was  to  create  an  awareness  among  judges 
of  the  role  of  personal  philosophies  verses 
general  sentencing  principles  with  the  goal  of 
eliminating  sentencing  disparities. 

I  attended  the  National  Judicial  College  Institute 
of  Public  Law  and  the  Women  Judges '  Fund  for 
Justice  in  Reno,  Nevada,  in   September,  1989,  and 
received  a  Certificate  of  Completion  for  the 
National  Conference  on  the  State  of  the  Judiciary 
on  Bioethical  Issues.  September  10,  1989. 

I  attended  Yale  Law  School's  Criminal  Sentencing 
Program  and  received  a  Certificate  of  Scholarly 
Participation  for  the  Spring  term  1990,  June  5, 
1990.   Six  Alabama  Circuit  Judges  and  the 
Commissioner  of  Corrections  for  the  State  of 
Alabama  participated  in  five  separate  four- day 
sessions  at  Yale  Law  School  in  the  spring  of  1990. 
Yale  Law  students  also  participated  in  the 
program.   The  program  was  to  study  disparity  in 
sentencing,  innovative  sentencing,  truth  in 
sentencing  and  probation  and  parole. 


27 


294 


FINANCIAL  DATA  AND  CONFLICT  OF  INTEREST  (PUBLIC) 

Question  1:    List  sources,  amounts  and  dates  of  all  anticipated 
receipts  from  deferred  income  arrangements,  stock, 
options,  uncompleted  contracts  and  other  future 
benefits  which  you  expect  to  derive  from  previous 
business  relationships,  professional  services, 
firm  memberships,  former  employees,  clients,  or 
customers.   Please  describe  the  arrangements  you 
have  made  to  be  compensated  in  the  future  for  any 
financial  or  business  interest. 

Answer:   I  expect  to  receive  my  state  retirement,  having 

been  a  circuit  judge  for  the  State  of  Alabama  for 
more  than  the  requisite  eighteen  years.   I  will 
receive  seventy- five  percent  of  the  gross  salary 
of  a  sitting  circuit  judge  at  any  time.   I  have 
contributed  six  percent  of  my  gross  annual  state 
pay  to  this  account. 

State  of  Alabama  Employee  Deferred  Compensation 
Plan  (PEBSCO) :   I  can  withdraw  the  full  amount  or 
installments  thereof  upon  retiring  as  a  state 
employee.  Currently,  there  is  approximately 
$36,000  in  my  account.   This  amount  is  based  on  my 
own  contributions  to  the  plan,  plus  interest 
earned. 

Question   2:    Explain  how  you  will  resolve  any  potential 

conflict  of  interest,  including  the  procedure  you 
will  follow  in  determining  these  areas  of  concern. 
Identify  the  categories  of  litigation  and 
financial  arrangements  that  are  likely  to  present 
potential  conflicts -of  -  interest  during  your 
initial  service  in  the  position  to  which  you  have 
been  nominated. 

Answer:    As  I  have  no  ongoing  business  relationships  from 
which  I  stand  to  profit,  I  do  not  expect  to  have 
conflicts  of  interest.   I  would,  of  course,  recuse 
myself  from  litigation  involving  the  State  of 
Alabama  Employee  Deferred  Compensation  Plan. 

Currently,  as  one  of  two  circuit  judges  for 
Colbert  County,  I  do  not  hear  cases,  and  have 
recused  myself,  from  all  cases  in  which  my  husband, 
who  practices  in  this  county,  is  an  attorney.   For 
cases  in  which  he  has  previously  represented  or 
sued  one  of  the  parties,  I  also  recuse  myself. 
While  other  conflicts  of  interest  have  arisen 
v;ithir.  the  past  fAcnty  years  I  have  served  on  the 
judiciary  for  Colbert  County,  I  have  resolved 

28 


295 


these  by  adherence  to  the  Canons  of  Judicial 
Ethics  and  will  continue  to  do  so. 

Question  3:   Do  you  have  any  plans,  commitments,  or  agreements 
to  pursue  outside  employment,  with  or  without 
compensation,  during  your  service  with  the  court? 
If  so,  explain. 

Answer :   No . 

Question  4:    List  sources  and  amounts  of  all  income  received 

during  the  calendar  year  preceding  your  nomination 
and  for  the  current  calendar  year,  including  all 
salaries,  fees,  dividends,  interest,  gift,  rents, 
royalties,  patents,  honoraria,  and  other  items 
exceeding  $500  or  more  (If  you  prefer  to  do  so, 
copies  of  the  financial  disclosure  report, 
required  by  the  Ethics  in  Government  Act  of  1978, 
may  be  substituted  here) . 

Answer:    See  attached  Financial  Disclosure  Form. ' 

Question  5:    Please  complete  the  attached  financial  net  worth 
statement  in  detail.   (Add  schedules  as  called 
for)  . 

Answer:   See  attached  Financial  Net  Worth  Statement. 

Question   6:    Have  you  ever  held  a  position  or  played  a  role  in 
a  political  campaign?   If  so,  please  identify  the 
particulars  of  the  campaign,  including  the 
candidate,  dates  of  the  campaign,  your  title  and 
responsibilities . 

Answer:    I  have  been  a  candidate  for  judicial  office  four 
consecutive  times.   I  was  elected  (as  the  first 
woman  circuit  judge  in  the  State  of  Alabama)  in 
1978  and  took  office  as  circuit  judge  for  the  31st 
Judicial  Circuit  January  16,  1979.   The  term  is  a 
six  (6)  year  term. 

I  was  re-elected  in  1984  to  the  same  position  for 
a  second  six  (6)  year  term. 

I  was  re-elected  in  1990  to  the  same  position  for 
a  third  six  (6)  year  term. 

I  was  re-elected  in  1996  for  a  fourth  six  (6)  year 
term  to  the  same  office. 


29 


296 


My  husband  ran  unsuccessfully  for  Mayor  of  the 
City  of  Tuscumbia,  Alabama,  in  July  and  August 
1996.   It  is  a  non-partisan  election  and  I  helped 
him  during  his  campaign  in  my  off -hours. 


30 


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297 


Rgvori  iUauirtd  by  thf  Ethics 

FINANCIAL  DISCLOSURE   REPORT            /^m^lc/im^ut  lUc. 
FOR  CALENDAR  YEAR  1997  (jV.scAfpi.  loi-jiji    

I    I.  tmn  Rcponllf  fLajl  lunr./Irrr.  au^Jl  fdaol)                 I    2.  Court  or  Orjuintiol                                                        I   VbnicufUciMin                 |    ■ 
i                                                                                 I    United   States  District  Court   for   '  ' 

;          Johnson,    Inge  P.                                     i    the   Northern  District   of  Alabama  f  September  2,  1998 
I ^ . X ' 

I    4.  Tide         Mrr/cfciW>rffrjiiiiiiM»«cnvciv«m<ir»««ul.         ».        Ktfvfri^t  (diwk  >|>|>t  aplU*  Itp«)        I    (.  R<|»rfi>c  rtr<>J 

maiislrau  judp:  I'idiaia  full- ^  pcn-limt)  n-,,no  ,  iinm^ 

'  /         r-        /  I  ^Noiainidoo.  D«c_8-31-^        January    1,    1997    to 

I     District   Judge  Nominee  j  _^.^     _  Am,ul    _F».J      j  August   31 .    1998 

7   Oanbtn  or  OfKcf  friirw  i    !■       On  af  kuli  or  the  ImTvi  wmUoo  caauiBc4  w  ebb  Rcporl  ud 

•0)  mo^iCttllaoi  pcrtuaiu  (tcmo.  it  b,  la  wi  opmun,  • 

Colbert   County  Courthouse  i  li  cooi[ii«»«  witt  ipplicjbU  bwi lod  itjolMoai.  | 

201  N.  Main  Street 

Tuscumbia.  AL   35674 '  "^"'■tOggr,  D.i. 


IMPORTAST  NOTES:  The  imtrucilons  accompanying  this  farm  nmsl  befoClowed.  Ccmpleie  all  para, 
checking  the  NCNE  box  for  each  part  where  you  have  no  rsportable  tr^armanon.  Sign  on  last  page. 


I.  POSITIONS.  (Reporting  iniivulud  only:  see  pp.  9-13  oflnitniciioru.) 

POSITION'  NAME    CF   0RC-AN-T7ATI0N/EOTITY 

i         I       NONE  (No  rtportable  posirionj ) 

Secretary  Helen  Keller  Property  Board 


Alabama  Law  School  Foundation 
Board  of  Directors  University  of  Alabama 


First  Vice-President Alabama  Circuit  Judges  Association 

n.   AGRF.F.MF.NTS.  nUfornnsinavidualon}v:  ^m  90  l^'U  afltun-daion^.} 

D&IE  ?A?TTES    t-Nt)   T-=.yg 

I  I       NONE  (No  rtponitlc  acntcirjia.) 

1 

Judicial   Retirement   Fund,    Retirement   Systems   of   Alabama,    75%   of    the    salary   of   an  active 


circuit  judge   at   any   time. 


m.  NON-INVESTMENT  INCOME.  (Sipemrt  a^Mamlcndtpaai  aiepp  l'-2'  o/haniaiau.} 

EAIE  SCURCF    ftMD    TYP.  C.-QSg    INCOT.^ 

Oroun,  aotspoux'i) 

I  I       .NONE  (No  rtpcruile  non-in^«scscn  ineonK.) 

\ 

1996        State  of  Alabama  (salary)  $78,800 


1995        Colbert  County,  Alabama  (salary)  j  18,125 


1997        State  of  Alabama  (salary)  j 78,636 


1997        Colbert  County,  Alabama  (salary)  18,125 


'   1998        State  of  Alabama  (salary)  ^  52,200 

1998        Colbert  County.  Alabama  (salary) $12,083 

6.   Husband's  employer:   William  Tipton  Johnson,  Jr. 
self.  Attorney  at  Law 


298 


raSANCIAL  DISCLOSURE  REPORT 


Johnson,    Inge   P. 


P«»erjup«R 

9-2-98 


IV.  REIMBURSEMENTS  -iiusponitNn.kiit|li«lcoil.Bniniiia»il 

SOURCE  nyfiCRiPTTON 


P 


NONI  (Ne  met  itpciabtc  iciatui juuuiu.)      EXEMPT 


V.   GIFTS.  (liteiyJu  ikom  K  fpcuM  vid  Jtf%iidiu  atlrtK  urn  Dm  fvtmhtncaii '(S)' aid '(DC)' lo  iKOtaii  efii  nar.*a 

CQURCE  DESCRIPTTCN 

EXEMPT 


NOP<K  (Kofuchnporabie  gifts.) 


VMT.-? 


VL   LlABiI.jTI£S<  (VKhtdathcMo/ipcuM^tJdtptftdeMckiId^n.lnAecu.)tft:triappltc3tkp«'SOmrtipaHMbUfor 
ItabUiiy  by  Ul*lf  Okl  p^wnsHtUCai  '(3,  'fie  mpcruu  UubUU^  ^th»  ^^mu;  '(J)  */orJw^nt  itsMUy  a/^tpmtiw^ 

cnPDiTOR  nr.c^TPTTnw 


p 


hOKt  (No  fcpoiuMa  lliMHia ) 
Colonial  Bank   (S) 


Colonial  Bank   (S) 


Mortgage   on  Office   Building 


VA!T7F    CODE* 


Unsecured  Business  Loan 


^~  ■.,'.■■■       <XMO.ooi-si.ooo,o<»  ->     ri-ii.ooi.ooi-jj.ooojoft-—  ,,..'•;     .      ■  ■  ■  ?>Sifioo.M-s:!js«)ffX  ;     .  ■s',' !.--■.;,] 

-"   '  '         1  .  >>t:i.0M.0Ul-tM.00(moO     r4-»0.0O0.001«ai<ire      '     ,    ■ 


299 


FINAiNCIAL  DISCLOSURE  REPORT 


oTPwiM  Krpcnukg 
Johnson,    Inge   P. 


Duf  oflUpon 

9-2-98 


Vn.  Pagel  INVESTMENTS  and  TRUSTS -income,  value,  transactions  (i«:(-A. <*««!<./ 

^uw  and  itptndMmi  ehitdrtn.  Stt  pp  3^54  ^hubnetio^.) 


hdicau-  whvr  e^^kablt.  ow%*t  o/Ute-aiut  by 
-ysmg  tfm  portrtiMttcal  '(J)" for  Joiru  owntrship  a 
•.frfkmitr  inetvitiiiai  ana  voio*.  '(Sf'/tir  uptvaa 

■  owirnAipAj'jpoiiic  '(DQ''Jdr  ffvTKnh^fy 
Ideptodemavui  '■  ,i'"" 


rtponiay  pcnod    |    tc;ioTting  period 

1)  I  -a; 


Ttmsactioss  ti\irjt%  repoicnt  period- 


,  Cadet       icotoi 
<A-H)  I      ht.) 


V«lu<    t    Ml"<<n<< 

;  c<xu    Cuici 
o-p> ;  (Q-w). 


-,,  (rf.,   • 


If  act  czcxpt  from  dodosua 


Cut       Valic  :    Gail 

,       iMonih-    Co<ki   ICockl 

iticrapdon)  ;  D:>  ^    (J-Pj   ■'lA.-Hl 


•  (5)  -  '' 
Tdmiryof 


'llntergrahp  Corp.  common 
I (S)  IRA 


|2 Rental  Property  (Farm)  (J) 
I  Tuscumbia,  AL 


'jRental  Property  (Of f  ice)  (J 
Tuscumbia,  AL 


4 Rental  Property  (Building) 
Tu5;cunbla.  AT,     (J) 


Rent 


M 


Is  Rental  Property    (Lot)  (J) 


None     I     K 


jPEBSCO   * 
Montgomery,    AL 


'Public   Employees   Benefit  Service  ICorpcjration 
Investments  under   thl^  pla^i  Incltjde  N^tionvile  Life   FLze 


Annul 


Nationwide  Life  Variable 

ITT  Life  Insurance  Colnpanyl  Term  tife 


iable  Annuity  J 
uompany,  Term  L: 


AmScuth  Ba  iE  MA  Ambo'ut'i  Saviigs  Account,         | 
or  ComnonwealtU  Lif  ;  losu rancd  Unlversallfe 


III  PEBSCO  *  (Same  as  above)   E 
'   Montgomery,  al I   _ 


'^.      (See  VIII) 


lacomi/'OstaDxiw;  A-Jl.MO  ot iea          '  'B-4l.0Ol-E_<0Cr  ' '  '  C'VjnSFM  '  'tVJJOffliSisSM  •   '        •  E^lS.i;ov3j?CJ3S^T^ 

(SteColBLD4;   ..  F-t50,OOI-}100.000     .C-5100.001-S1.000.WO  H:-il  OM.OOl-ai.OW.DOO  H>!Aoi«lli«ng,ai)0,COO  ''-;  ■          -  -,-,  ;.:■    .i,..i 

Value  Co<fc3-.            Mi;,000or  leu        '.     (.-s:3,oo;-i;u.uiAj  \.-4.-u.ooi-lioo,6oi)  ii-uoGooifc.'iioo — '- — '                       .    •  . : 

(Set  Col  CI,  D3 1       N-K^O.OOl-JSOO.OOO      O-SSOO.OOl-SI  «W,)00  P I -i  1, OOO  00 1-ji, 000,000  P:-15OMIiXU-J:SO0O0OO                                          'i 

f  3-il5.boO.M  I  -^O.OOO.OOO  P4-Mo.illiiaI50.OOO.0OO                .■■                     ' ■.      .:     ] 

Il'Cot.  (real  tiiiie  only  ■  S^Sncmtni  TSnSMSiE                  '■                                  I 


300 


FINANCIAL  DISCXOSURE  REPORT  |        Johnson,    Inge   p. 


VnL  ADDITIONAL  INFORMATION  OR  EXPLANATIONS  (!»)»"♦•  l«»»t»fR*?ort) 

Explanation  of  VII   H- 

Public  Employees  Benefit  Services  Corporation  of  Alabama  (PEBSCO) 
503  Coliseum  Boulevard,  Ste.  D 
Montgomery,  Alabama  36109-1218 

On  February  18,  1998  I  withdrew  $16,520.00  from  this  account.  There  remains  a 
balance  of  $36,430.00.  This  Is  my  State  Employee's  Deferred  Compensation  Plan. 


DC  CERTIFICATION. 

In  compliant*  wiih  rtw  pirrvisiniw  of  28  L'.S.C.  {  455  and  of  Advisory  Ooinion  No.  57  of  the  Advuoiy  Comitiiue  on  Judicial  Activities, 
and  tc  du  best  of  my  kDowledgt  ailer  reascoable  inquiry,  I  did  not  perfbm  my  adjudicatary  fiinction  in  my  Ungaion  during  tbe  paiod  covertd 
by  diit  report  B  which  I,  my  tpoutr,  or  my  minor  nt  dcpeadem  dnldtcn  had  a  Qnaocial  inierest,  ais  defined  ic  Cuoo  3C(3XcX  ic  the  cuicome 
ofsuchlitjgar.oa. 

I  certify  that  all  mfonaaiion  given  above  (iochiding  infonnacon  peminiog  to  my  spouse  ud  minor  or  dependem  cfaiitLren,  if  any)  is 
avcuiate,  tnie,  and  complete  to  the  b«:t  of  my  knowltdgt  aod  belief,  atiH  rhjir  my  fnformanoo  not  reported  was  withheld  because  it  met 
applicable  statutory  provuiocs  potnitiing  ooo-disclosure. 

I  ftirtber  cerni^  that  earned  income  from  outside  employment  and  honoraria  and  the  acceptance  cf  giAs  >¥hich  have  been  reported  ire  in 
COmpUancc  Mdih  ibc  |nu<iiioiu  of  5  US  C.  tpp.  4,  {  SOI  ci.  soq,,  5  U.5.C.  {  7}53  and  Judicial  Cmtfrrmee.  retulaiisns 

NOTE:  ANY  INUl  V  lUUAJ,  »1Kl  KXOWTNGLY  .\ND  WUFULLY  FALSITTCS  OR  FAILS  TO  FILE  THIS  RIPORT  MAY  BE 
SUBJECT  TO  CrviL  AND  OUUCNAL  SANCTIONS  (5  U.S.C.  App  4,  {  104.) 


f  FB  TKr,  INSTRUCTIONS. 

I  -    "  ■.'  ! 

'MaU  sifoed  orisixul  and  3  additioiul  copiu'io;  Commitxee  otl  Ftna&cial  Dl3clo&u.'V 

Admioisraive  Ofiiee  of  the 
I'rjirJ  S.3i:^'  Coins 

Suite  2-301 
'  Or»rnliimbtB  Circle.  NX., 

Wisbingtoa. DC.  2054d 


301 


FINANCIAL  STATEMENT 
NET  WORTH 


Provide  a  complete,  current  financial  net  worth  Btatement 
which  itemizes  in  detail  all  assets  (includinij  bank  accounts, 
real  estate,  securities.  Crusts,  investments,  and  other  financial 
holdings)  all  liabilities  (including  debts,  mortgages,  loans,  and 
other  financial  obligations)  of  yourself,  your  spouse,  and  other 
immediate  members  of  your  household. 


ASSETS 


6. 
7. 
8. 
9. 

10. 


Cash  on  hand  and  in  banks 

U.S.  Government  securities 

-  -  add  schedule 

Listed  securities  --  add 

schedule 

Unlisted  securities  --  add  schedule 

Accounts  and  notes  receivable 

Due  from  relatives 

Due  from  others 
Real  estate  owned  -  -  add  schedule 
Real  estate  mortgages  receivable 
Autos  and  other  personal  property 
Cash  value  •-  life  insurance 
Other  assets  --  itemize: 

Retirement  Account 

PEBSCO  Account 
Total  Assets 


LIABILITIES 

1.  Notes  payable  to  bank  --  secured 

2 .  Notes  payable  to  bank  -  -  unsecured 

3.  Notes  payable  to  relatives 

4.  Accounts  and  bills  due 

5.  Unpaid  income  taxes 

6.  Other  unpaid  tax  and  interest 

7.  Real  estate  mortgages  payable 
-  -  add  schedule 

8.  Secured  auto  loan 

9.  Other  debts  --  itemize: 

visa  &  Mastercard 
Total  Liabilities 

Net  Worth 

Total  liabilities  and  net  worth 


$  8.000.00 
none 

none 

none 
none 
none 
none 

$995,000.00 
none 

1125,000.00 
none 

$100,000.00 

t  36.000.00 

$1,264,000.00 


none 
$  14,700.00 

none 
$   4,500.00 

none 

none 
$210,000.00 

$  18,300.00 

i  13.000.00 
$260,500.00 

$1,003,500.00 

$1,264,000.00 


302 


Real  Estate  value 

1.  Home  $250,000.00 
Tuscumbia,  Alabama  35C74 

2.  Rental  Buildings  $100,000  00 
E.  5th  Street 

Tuscumbia.  Alabama  35674 

3.  Rental  Buildings  $130,000.00 
6.  Main  Street 

Tuscumbia,  Alabama  35674 

4.  Vacant  Lot  |  25.000.00 
East  North  Commons 

Tuscumbia,  Alabama  35674 

5.  60%  fractional  share  of  1490,000.00 
farm  property 

North  East  Commons 
Tuscumbia,  Alabama  35674 


MAL  ESTATE  MORTaAO«a  BffH«Ptn,p 

1.  Mortgage  on  resldonco  1150,000.00 
Bank  Independent 

Tuscumbia,  Alabama  35674 

2.  Mortgage  on  Rental  Buildings  |  60,000  00 
E.  5th  Street 

Tuscumbia,  Alabama  35674 

PTH8K  IHPgaTBDWESS  SCHEPnLE 

1.  Husband's  two  unsecured  loans  |  4.500.00 
First  Metro  BanX  |  200.00 
Tuscumbia,  Alabama  35674 

2.  Husband's  unsecured  loan  $  10,000.00 
Colonial  Bank 

Tuscumbia,  Alabama  35674 

3.  Visa  and  Mastercard  |  13.000. 00 

4.  Car  loan  I  18.300.00 
Bank  Independent 

Tuscumbia.  Alabama  35674 


III.   GENERAL  (PUBLIC) 

Question  1:   An  ethical  consideration  under  Canon  2  of  the 

American  Bar  Association's  Code  of  Professional 
Responsibility  calls  for  "every  lawyer,  regardless 
of  professional  prominence  or  professional 
workload,  to  find  some  time  to  participate  in 
serving  the  disadvantaged."  Describe  what  you  have 
done  to  fulfill  these  responsibilities,  listing 
specific  instances  and  the  cimount  of  time  devoted 
to  each. 

Answer:    I  am  chairman  of  a  Community  Drug  Task  Force  (1995 
to  present) ,  which  is  a  volunteer  effort  to 
research  prevention  of  drug  use  in  children  and 
young  adults.   This  task  force  is  comprised  of 
members  of  the  community  who  volunteer  their  time 
and  energy  to  address  prevention  of  drug  use. 

I  am  a  member  of  the  First  Presbyterian  Church  in 
Tuscumbia.   Through  my  Sunday  School  class,  I  have 
been  able  to  assist  children  and  adults  who  do  not 
qualify  for  any  social  services  with  their 
medical,  pharmaceutical,  and  dental  needs.   We 
have  enabled  children  to  have  braces,  and  assisted 
a  woman  with  her  own  medical  bills  when  she  was 
caring  for  a  family  member  to  the  exclusion  of 
being  able  to  work  for  an  income.   We  have 
assisted  the  Cerebral  Palsy  Center,  the  Caring 
Center,  and  others  in  need. 

I  was  a  member  of  the  Muscle  Shoals  District 
Service  League  in  1974.   As  such  I  did  volunteer 
work  at  Children's  Rehabilitation  Services,  1450 
E.  Avalon  Avenue,  Muscle  Shoals,  Alabama.   As 
such,  I  also  did  volunteer  work  in  the  public 
school  system  for  the  City  of  Tuscumbia. 

I  volunteered  at  the  Legal  Aid  Clinic  in 
Copenhagen,  Denmark,  while  in  law  school  at  the 
University  of  Copenhagen. 

Question  2:   The  American  Bar  Association's  Commentary  to  its 
Code  of  Judicial  Conduct  states  that  it  is 
inappropriate  for  a  judge  to  hold  membership  in 
any  organization  that  invidiously  discriminates  on 
the  basis  of  race,  sex  or  religion.   Do  you 
currently  belong,  or  have  you  belonged,  to  any 
organization  which  discriminates  --  through  either 
formal  membership  requirements  or  the  practical 
implementation  of  ir.jiTibei  -hip  policies?   If  so, 
list  dates  with  membership.   What  have  you  done  to 

31 


304 


try  to  change  these  policies? 

Answer:    I  have  never  belonged  to  any  organization  that 
allowed  discrimination  in  any  form. 

Question  3:    Is  there  a  selection  commission  in  your 
jurisdiction  to  recommend  candidates  for 
nomination  to  the  federal  courts?   If  so,  did  it 
recommend  your  nomination?   Please  describe  your 
experience  in  the  entire  judicial  selection 
process,  from  beginning  to  end  (including  the 
circximstances  which  led  to  your  nomination  and 
interviews  in  which  you  participated. 

Answer:    I  interviewed  in  February  of  1997  with  the  Alabama 
Patronage  Committee  which  was  composed  of  both 
attorneys  and  lay  people.   I  was  one  of  several 
individuals  recommended  to  the  President  for 
nomination  to  the  federal  courts. 

I  was  endorsed  as  a  qualified  nominee  by  the 
Colbert  and  Lauderdale  Bar  Associations  and  the 
Colbert,  Lauderdale  and  Madison  County  Democratic 
Executive  Committees.   I  received  support  for  the 
nomination  from  many  attorneys  and  lay  people  who 
have  written  the  President,  Senator  Richard 
Shelby,  Senator  Jeff  Sessions,  Congressman  Bud 
Cramer  and  Congressman  Earl  Milliard. 

In  August,  1997,  I  completed  a  Judicial  Candidate 
Data  Questionnaire  at  the  request  of  the  White 
House  Counsel's  Office. 

On  June  18,  1998  I  was  contacted  by  the  White 
House  and  was  provided  with  numerous  additional 
questionnaires  to  complete.   I  was  also  contacted 
by  attorneys  for  the  Department  of  Justice 
regarding  my  completion  of  these  forms. 

On  June  29,  1998  I  was  interviewed  at  the 
Department  of  Justice  by  attorneys  from  the 
Department  of  Justice  and  the  white  House 
Counsel's  Office. 

I  was  also  interviewed  by  a  representative  of  the 
American  Bar  Association  Standing  Committee  on 
Federal  Judiciary. 

During  the  month  of  July  I  was  also  interviewed  by 
F.B.I,  agents. 


32 


305 


Question  4:   Has  anyone  involved  in  the  process  of  selecting 
you  as  a  judicial  nominee  discussed  with  you  any 
specific  case,  legal  issue  or  question  in  a  manner 
that  could  reasonably  be  interpreted  as  asking  how 
you  would  rule  on  such  case,  issue,  or  question? 
If  so,  please  explain  fully. 


Answer: 


No. 


Question  5:   Please  discuss  your  views  on  the  following 
criticism  involving  "judicial  activism." 

The  role  of  the  Federal  judiciary  within  the 
Federal  government,  and  within  society  generally, 
has  become  the  subject  of  increasing  controversy 
in  recent  years.   It  has  become  the  target  of  both 
popular  and  academic  criticism  that  alleges  that 
the  judicial  branch  has  usurped  many  of  the 
prerogatives  of  other  branched  and  levels  of 
government . 

Some  of  the  characteristics  of  this  "judicial 
activism"  have  been  said  to  include: 

a.  A  tendency  by  the  judiciary  toward  problem- 
solution  rather  than  grievance- resolution; 

b.  A  tendency  by  the  judiciary  to  employ  the 
individual  plaintiff  as  a  vehicle  for  the 
imposition  of  far-reaching  orders  extending 
to  broad  classes  of  individuals; 

c.  A  tendency  by  the  judiciary  to  impose  broad, 
affirmative  duties  upon  governments  and 
society; 

d.  A  tendency  by  the  judiciary  toward  loosening 
jurisdictional  requirements  such  as  standing 
and  ripeness;  and 

e.  A  tendency  by  the  judiciary  to  impose  itself 
upon  other  institutions  in  the  manner  of  an 
administrator  with  continuing  oversight 
responsibilities . 

Answer:    Federal  judges,  and  all  other  levels  of  the 

judiciary,  must  adhere  to  the  doctrine  of  stare 
decisis.   A  trial  judge  must  follow  the  law  and 
apply  it,  relying  heavily  on  precedent  in  entering 
rulings,  regardless  of  personal  beliefs  on  any 
particular  topic. 


33 


306 


A  judge's  role  is  indeed  limited  to  the  cases  or 
controversies  pending  before  the  court.   Concepts 
of  standing  and  ripeness  must  be  considered  by 
courts  as  judges'  decisions  should  be  limited  to 
the  case  before  them  and  to  a  controversy  in  which 
a  judicial  decision  will  address  the  grievance. 
The  judiciary  is  not  the  place  for  an  individual 
judge  to  advance  his  or  her  own  personal  agenda. 

Federal  courts  have  limitations  on  their 
jurisdiction  so  as  not  to  usurp  powers  left  to  the 
states  or  to  other  branches  of  government.   These 
separations  of  powers  must  be  respected  before  any 
decisions  are  entered  by  a  federal  judge.    In 
sum,  the  court's  role  is  to  enforce  the  law,  not 
create  it. 


34 


307 


I.  BIOLOGICAL  INFORMATION  (PUBLIC) 

1 .  Full  name  (include  any  former  names  used.) 
ANSWER:      Thomas  John  Whelan. 

2.  Address;  List  Current  place  of  residence  and  office  address(es). 

ANSWER:      Residence:    San  Diego,  CA  Office:     Presiding  Judge 

Superior  Court 
220  West  Broadway 
San  Diego,  C A  92101 

3.  Date  and  place  of  birth. 
ANSWER:      St.  Paul,  Minnesota,  February  2 1 ,  1 940 

4.  Marital  Status  (include  maiden  name  of  wife,  or  husband's  name).  List  spouse's 
occupation,  employer's  name  and  business  address(es). 

ANSWER:      Married,  Catherine  Ann  Whelan  (nee  Lindseth);  spouse's  occupation  -  Director  of 
Religious  Education;  employer  -  Diocese  of  San  Diego,  c/o  Our  Mother  of 
Confidence  Church,  3131  Governor  Drive,  San  Diego,  California  92122. 

5.  Education:  List  each  college  and  law  school  you  have  attended,  including  dates  of 
attendance,  degrees  received,  and  dates  degrees  were  granted. 

ANSWER:      University  of  San  Diego 

9/57  -  6/61  -  Bachelor  of  Business  Administration  (BBA)  -  1961 
University  of  San  Diego,  School  of  Law 
9/61  -  6/65  ~  Juris  Doctor  (J.D.)-1965 

6.  Employment  Record:  List  (by  year)  all  business  or  professional  corporations, 
companies,  firms,  or  other  enterprises,  partnerships,  institutions  and  organizations, 
nonprofit  or  otherwise,  including  firms,  with  which  you  were  connected  as  an 
officer,  director,  partner,  proprietor,  or  employee  since  graduation  fi-om  college. 

ANSWER:      1 96 1  - 1 965  -  Planner/Estimator,  Engineering  Department 
General  Dynamics  Corporation/Convair  Division 


Page  1 


308 


San  Diego,  California 
1965-1969  -  Contracts  Administrator,  New  Product 

Development/Customer  Service  Department 

General  Dynamics  Corporation/Convair  Division 

San  Diego,  California 
1969-1989  -  Deputy  District  Attorney,  County  of  San  Diego 
1990-Present  -  Superior  Court  Judge,  State  of  California 

County  of  San  Diego 

Military  Service:  Have  you  had  any  military  service.  If  so,  give  particulars, 
including  the  dates,  branch  of  service,  rank  or  rate,  serial  number  and  type  of 
discharge  received. 


ANSWER:      None. 


Honors  and  Awards:  List  any  scholarships,  fellowships,  honorary  degrees,  and 
honorary  society  memberships  that  you  believe  would  be  of  interest  to  the 
Committee. 


ANSWER:      None. 


Bar  Associations:  List  all  bar  associations,  legal  or  judicial-related  committees  or 
conferences  of  which  you  are  or  have  been  a  member  and  give  the  titles  and  dates 
of  any  offices  which  you  have  held  in  such  groups. 


ANSWER:      Bar  Associations: 


1.  California  State  Bar  Association  (1969-1989) 

2.  San  Diego  County  Bar  Association  ( 1 969- 1 989) 

3.  California  District  Attorneys  Association  ( 1 974- 1 989) 
a.  Member,  Board  of  Directors  (1975-1977) 

4.  San  Diego  County  Deputy  District  Attorneys  Association  (1969-1989) 

a.  President  (1972-1973) 

b.  Member,  Board  of  Directors  ( 1 979- 1 98 1 ) 

Legal  Committees.  California  State  Bar  Association: 

1 .  Member,  Judicial  Nominee  Evaluation  Committee  ( 1 975) 

2.  Member,  Criminal  Law  and  Procedure  Committee  (1977) 

3.  Member,  Committee  on  the  Courts  ( 1 982- 1 983) 


Page  2 


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4.  Member,  Disciplinary  Board  (1978)  (I  was  a  disciplinary  Referee,  Pro- 
Tern  1975-1977).  In  1979  a  new  disciplinary  system  was  adopted,  the 
State  Bar  Court. 

5.  Appointed  Supervising  Referee,  District  9,  State  Bar  Court  (1979, 
reappointed  yearly  through  1 987) 

6.  Member,  Review  Department,  State  Bar  Court  (1988-1 989)  (I  was  one  of 
12  attorney  members.  The  Review  Department  made  final 
recommendations  on  admission  and  discipline  matters  to  the  California 
Supreme  Court.) 

Legal  Committees/Conferences  -  San  Diego  County  Bar  Association: 

1 .  Vice-Chair,  Criminal  Law  Committee  (1981) 

2.  Member,  Voir  Dire  Committee  (1989) 

3 .  Faculty,  Inn  of  Court  Program  ( 1 978- 1 979) 

4.  Delegate,  State  Bar  Conference  (1982-83  and  1987) 

Judicial  Committees.  Judicial  Council  of  California 

1 .  Member,  Criminal  Law  Advisory  Committee  ( 1 995-97) 

2.  Member,  Presiding  Judge  Advisory  Committee  (1998) 

3 .  Member,  Task  Force  on  Jury  Instructions  ( 1 997- 1 998) 

Judicial  Committees/Conferences.  Center  for  Judicial  Education  and  Research  fCJER) 

1 .  Member,  Planning  Committee,  Sexual  Harassment  Awareness  and 
Prevention  Project  (1996-98) 

2.  Member,  Planning  Committee,  Criminal  Law  &  Procedure  Institute  (1998) 

3.  Instructor,  Three  Strikes  Task  Force,  Retired  Judges  Institute  (1 996) 

4.  Instructor,  Criminal  Laws  &  Procedure  Institute  (1 997) 

5.  Speaker,  California  Judicial/Administrative  Conference  (1997) 

1 0.        Other  Memberships:  List  all  organizations  to  which  you  belong  that  are  active  in 
lobbying  before  public  bodies.  Please  list  all  other  organizations  to  which  you  belong. 

ANSWER:      Organization  active  in  lobbying: 

A.      California  Judges  Association 
Other  Organizations: 
A.      William  B.  Enright  Irm  of  Court. 


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1 1 .  Court  Admission:  List  all  courts  in  which  you  have  been  admitted  to  practice, 
with  dates  of  admission  and  lapses  if  any  such  memberships  lapsed.  Please 
explain  the  reason  for  any  lapse  in  membership.  Give  the  same  information  for 
administrative  bodies  which  require  special  admission  to  practice. 

ANSWER:  All  California  State  Courts,  1-9-69;  U.S.  District  Court,  Southern  District  of 
California,  1-9-69;  United  States  Supreme  Court,  1 1-5-73 

1 2.  Published  Writings:  List  the  titles,  publishers,  and  dates  of  books, 
articles,  reports,  or  other  published  material  you  have  written  or 
edited.  Please  supply  one  copy  of  all  published  material  not  readily 
available  to  the  Committee.  Also,  please  supply  a  copy  of  all 
speeches  by  you  on  issues  involving  constitutional  law  or  legal 
policy.  If  there  were  press  reports  about  the  speech,  and  they  are 
readily  available  to  you,  please  supply  them. 

ANSWER:      San  Diego  Law  Review,  1 965  -  Wrote  article  entitled  "Negligence  -  Stolen 
Vehicles"  (Copy  attached) 

1 3.  Health:  What  is  the  present  state  of  your  health?  List  the  date  of 
your  last  physical  examination. 

ANSWER:      Excellent.  Last  physical  exam  was  April  1998. 

14.  Judicial  Office:  State  (Chronologically)  any  judicial  offices  you 
have  held,  whether  such  position  was  elected  or  appointed,  and  a 
description  of  the  jurisdiction  of  each  such  court. 

ANSWER:      Superior  Court  Judge,  State  of  California,  County  of  San  Diego.  Appointed  by 
Governor  George  Deukmejian  1/17/90  (oath  1/19/90).  Currently  serve  as 
Presiding  Judge.    The  Superior  Court  is  the  highest  trial  court  in  California.  Its 
jurisdiction  is:  Criminal:  all  felonies;  Civil;  all  cases  valued  at  over  $23,000; 
Probate:  exclusive  jurisdiction;  Domestic:  exclusive  jurisdiction;  Juvenile: 
exclusive  jurisdiction. 

15.  Citations:  If  you  are  or  have  been  a  judge,  provide:  (1)  citations  for 
the  ten  most  significant  opinions  you  have  written;  (2)  a  short 
summary  of  and  citations  for  all  appellate  opinions  where  your 
decisions  were  reversed  or  where  your  judgment  was  affirmed  with 
significant  criticism  of  your  substantive  or  procedural  rulings;  and 


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(3)  citations  for  significant  opinions  on  federal  or  state 
constitutional  issues,  together  with  the  citation  to  appellate  court 
rulings  on  such  opinions.  If  any  of  the  opinions  listed  were  not 
officially  reported,  please  provide  copies  of  the  opinions. 

ANSWER: 

1 .         As  a  trial  court  judge,  I  am  not  called  upon  to  write  opinions.  The 
record  on  appeal  consists  of  the  briefs  filed  by  counsel  and  the 
Reporter's  Transcript  of  my  rulings  and/or  the  trial  transcripts.  The 
following  are  ten  significant  matters  I  have  presided  over: 

(1)  People  V.  Elizabeth  "Bettv"  Broderick  Case  No.  CRl  12048 

Jury  trial,  9/19/91 .  Guilty  two  counts  murder.  Affirmed  on  appeal, 
6/8/94,  Court  of  Appeal,  Fourth  Appellate  District,  Case  No. 
D016539.  (NOTE:  I  also  presided  over  the  first  trial  which 
resulted  in  a  hung  jury  in  November  1990.)  Petition  for  review 
denied  by  California  Supreme  Court  9/94. 

SIGNIFICANCE:  High  profile  double  homicide  case.  This  was 
the  first  San  Diego  trial  telecast  live  daily.  Also,  CBS-TV  made 
two  movies  based  on  the  trial. 

FACTS:  Shortly  before  dawn,  the  defendant  entered  the  home  of 
her  former  husband.  She  went  to  the  bedroom  where  he  and  his 
new  wife  were  asleep  and  shot  them  both  to  death.  Her  former 
husband  was  a  prominent  local  attorney  who  left  the  defendant  for 
a  younger  woman. 

PROSECUTOR:  DEFENSE: 

Kerry  Wells  jack  Earley,  Esq. 

Deputy  District  Attorney  1 91 00  Von  Karman  Ave.,  Ste.  950 

P.O.  Box  X- 1 0 1 1  Irvine,  California  926 1 2 

San  Diego,  CA  92101-3825  (714)  476-8900 

(619)575-8605 
(2)        People  V.  Kerry  Lvn  Dalton.  Case  No.  CR135002 

Jury  trial,  1/23/95.  Guilty  1"  degree  murder,  special 
circumstances-true,  death  sentence.  Automatic  appeal  pending 

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before  California  Supreme  Court. 

SIGNIFICANCE:  "Missing  body"  homicide.  Defendant  was  first 
female  in  San  Diego  to  receive  a  death  sentence. 

FACTS:  Case  involved  homicide  investigation  that  began  several 
years  before  an  arrest  was  made.  The  female  victim's  body  has 
never  been  found.  Evidence  established  that  a  contributing  cause  of 
death  was  the  injection  of  battery  acid.  Two  co-defendants  pled 
guilty  to  murder. 

PROSECUTOR:  DEFENSE: 

Jeffrey  Dusek  Alex  Landon,  Esq. 

Deputy  District  Attorney  2442  Fourth  Ave. 

P.O.  Box  X-101 1  San  Diego,  California  92101 

San  Diego,  Califomia92101-3825  (619)  232-6032 

(619)531-3581 

(3)        People  v.  Tracv  Jav  Scott.  Case  No.  CR144056 

Jury  Trial,  5/16/94,  guilty  first  degree  murder.  Affirmed  5/3/95, 
Court  of  Appeal,  Fourth  District,  Case  No.  D021473,  Petition  for 
Review  denied  by  California  Supreme  Court,  August  1995. 

SIGNIFICANCE:  High  profile  homicide.  Manager  of  WalMart 
store  shot  to  death  by  disgruntled  customer  during  Christmas 
season. 

FACTS:  Defendant  was  asked  to  leave  a  WalMart  store.  He  was 
escorted  from  the  store  by  the  store  manager.  While  leaving  the 
parking  lot  in  his  vehicle,  he  shot  and  killed  the  manager.  The 
parking  lot  was  full  of  Christmas  shoppers  (12/3/93)  one  of  whom 
gave  chase  but  lost  the  defendant  who  had  run  three  red  lights  at 
high  speed.  He  was  arrested  four  days  later  after  another  high  speed 
chase. 


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PROSECUTOR: 


DEFENSE: 


Peter  Longanbach 

Deputy  District  Attorney 

P.O.  BoxX-lOU 

San  Diego,  California  92101-3825 

(619)531-3591 


Michael  Berg,  Esq. 

401  West.  A  St.,  Ste.  2100 

San  Diego,  California  92101 

(619)239-2186 


(4) 


People  V.  Joshua  Griffin  and  James  Weaver.  Case  No.  SCD 
106309 


Jury  trial,  9/8/95,  guilty  attempted  murder,  (possession  of  a  sawed- 
off  shotgun  and  shooting  at  an  occupied  vehicle).  Affirmed, 
4/29/97,  Court  of  Appeal,  Fourth  District,  Case  No.  D02429. 
Petition  for  Review  denied  by  California  Supreme  Court  6/97. 

SIGNIFICANCE:  "Road  rage"  shooting  at  strangers  that  ends 
after  high  speed  chase  by  citizen  witness  and  California  Highway 
Patrol. 

FACTS:  Defendants  "taunt"  victims  (who  are  going  to  a  wedding 
reception)  by  slowing  down  in  fast  lane,  changing  lanes  and  cutting 
them  off  They  then  displayed,  loaded  and  shot  at  them  with  a 
shotgun.  Citizen  sees  incident  and  uses  cell  phone  to  notify 
California  Highway  Patrol.  High  speed  chase  on  two  interstates  (I- 
1 5/1-805)  results  in  arrest  of  defendants. 


PROSECUTOR: 


DEFENSE: 


Dana  Greisen 

Deputy  District  Attorney 

P.O.  BoxX-lOU 

San  Diego,  California  92101-3825 

(760)  940-6438 


William  Richardson 

Deputy  Public  Defender 

233  "A"  St.,  4*  Floor 

San  Diego,  CA  92101-4007 

(619)338-4788 

And 

Michael  Meaney,  Esq. 

1901  First  Ave.,  Ste.  400 

San  Diego,  CA  92101-2311 

(619)234-9000 


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53-754  99-11 


814 


(5)  People  V.  Willie  Lee  Miles.  Case  No.  CRl  35952 

Jury  trial,  5/28/96.  Guilty  first  degree  murder,  Special 
Circumstances  -  true,  sentence  of  life  without  possibility  of  parole. 
Affirmed  1/7/98,  Court  of  Appeal,  Fourth  District,  Case  No. 
D026984.  (NOTE:  I  also  presided  over  the  first  trial  in  which  a 
death  verdict  was  sought.  The  jury  hung  and  death  was  not  sought 
on  retrial.) 

SIGNIFICANCE:  Robbery-murder  by  a  parolee  with  a  prior 
murder  conviction. 

FACTS:  Local  gun  store  owner  shot  and  killed  during  a  robbery. 
Defendant's  car  identified  by  a  citizen  as  get-away  vehicle  but 
defendant  not  identified  as  the  driver  or  occupant.  Defendant 
resided  in  Los  Angeles  and  was  on  parole  at  time  of  the  robbery. 
Two  co-defendants  pled  guilty  and  one  testified  that  he  had 
borrowed  the  car  and  that  the  defendant  was  not  present  during  the 
robbery. 

PROSECUTOR:  DEFENSE: 

Jeff  Silver  Albert  Bradley 

Deputy  District  Attorney  Office  of  Alternate  Public  Defender 

P.O.  Box  X-101 1  1 10  West  "C"  St.,  Ste.  1 100 

San  Diego,  CA  92101-3825  San  Diego,  CA  92101 

(760)940-4301  (619)236-2655 

(6)  People  V.  Damien  Young.  Case  No.  CR143079 

Jury  trial,  1 1/14/94,  guilty  2"*  degree  murder,  affirmed,  3/28/96, 
Court  of  Appeal,  Fourth  Appellate  District,  Case  No.  D022733. 
Petition  for  Review  denied  by  California  Supreme  Court  6/%. 

SIGNIFICANCE;  Defendant,  a  Los  Angeles  resident,  critically  ill 
with  AIDS,  murdered  his  former  partner  and  ''dumped"  the  body  in 
San  Diego. 

FACTS:  Body  of  male  with  ankles  bound  by  shackles  found  on 
side  of  Interstate  5.  Evidence  established  that  he  had  ended  a 


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homosexual  relationship  with  the  defendant  by  moving  in  with  his 
girlfriend.  The  cause  of  death  was  manual  strangulation. 

PROSECUTOR:  DEFENSE: 

Glenn  McAllister  Geraldine  Russell,  Esq. 

Deputy  District  Attorney  5965  Severin  Drive,  Ste.  1 16 

P.O.  BoxX-1011  La  Mesa,  CA  91942 

San  Diego,  CA  92101-3825  (619)  589-5444 
(619)441-4239 

(7)  People  V.  Michael  Potenziani.  Case  No.  SCD  1 0 1 949 

Jury  trial,  12/5/94,  guilty  1"  degree  murder,  affirmed  4/10.96, 
Court  of  Appeal,  Fourth  Appellate  District,  Case  No.  D022914. 
Petition  for  Review  denied  by  California  Supreme  Court  6/96. 

SIGNIFICANCE:  Son  convicted  of  murdering  his  mother.  Her 
cause  of  death  was  disputed  by  medical  experts. 

FACTS:  Defendant  reports  his  mother  missing.  Her  body  was  later 
found  buried  in  the  desert.  The  body  was  too  decomposed  to 
establish  a  precise  cause  of  death.  Defense  contended  death  was  by 
natural  causes.  Medical  examiner  could  only  say  death  not  from  a 
natural  cause. 

PROSECUTOR:  DEFENSE: 

John  Williams  Tamela  Matsumoto 

Deputy  District  Attorney  Office  of  Alternate  Public  Defender 

P.O.  BoxX-1011  1 10  West  "C"  St.,  Ste.  1100 

San  Diego,  C  A  92 1 0 1  -3  825  San  Diego,  C A  92 1 0 1 

(619)694-4265  (619)236-2523 

(8)  People  V.  Caesar  Lopez.  Case  No.  CRl 35692 

Jury  trial,  7/1/93,  guilty  possession  of  cocaine  for  sale  and  true 
finding  that  possessed  over  100  pounds.  (1 1351/1 1370.4a  Health 
&  Safety  Code.)  Affirmed  3/3/95,  Court  of  Appeal,  Fourth 
Appellate  District,  Case  No.  DO  19784.  Petition  for  Review  denied 
by  California  Supreme  Court,  6/95. 

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SIGNIFICANCE:  Defendant  possessed  over  three  million  dollars 
of  cocaine. 

FACTS:  Multi-agency  investigation  ends  when  an  informant 
makes  a  controlled  buy  of  cocaine  ($5,000).  Subsequent  search  of 
defendant's  garage  reveals  192.5  pounds  of  cocaine  seized  from 
various  locations  including  door  and  tailgate  of  Ford  Bronco. 
(Uncut  street  value  was  estimated  at:  3080  ounces  @  $1,000  per 
ounce,  totaling  $3,080,000). 

PROSECUTOR:  DEFENSE: 

David  Latucca  Michael  McCabe,  Esq. 

Deputy  District  Attorney  1 08  Ivy  Street 

P.O.  Box  X-1  Oil  San  Diego,  CA  92101 

San  Diego,  CA  92101-3825  (619)  231-1 181 
(619)531-2818 

(9)        People  V.  Chhouv  Chhoun.  Case  No.  CR143434 

Jury  trial,  2/23/94,  guilty  of  attempted  premeditated  murder  (life 
with  possibility  of  parole).  Affirmed,  7/6/95,  Court  of  Apj)eal, 
Fourth  Appellate  District,  Case  No.  D020933. 

SIGNIFICANCE:  Asian  gang  "territorial"  dispute  leads  to 
daylight  shooting. 

FACTS:  Attempted  assassination  of  rival  Asian  gang  member. 
Defendant  (AKA  "Trigger")  was  leader  of  "50"  gang.  Victim  was 
member  of  "47"  gang.  Defendant  and  his  friends  chase  victim's 
car  through  residential  neighborhood,  shoot  and  miss. 

PROSECUTOR:  DEFENSE: 

Al  Williams  Hank  K.  Howlett,  Esq. 

Deputy  District  Attorney  600  "B"  St.,  Ste.  1950 

P.O.  Box  X- 1 0 1 1  San  Diego,  C A  92 1 0 1 

San  Diego,  CA  92101-3825  (619)  230-8464 
(619)531-4069 


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( 1 0)      People  V.  Johnny  Rav  Neal.  Case  No.  SCD  1 08327 

Jury  trial,  4/24/95,  guilty  possession  of  sawed-off  shotgun  and 
felon  with  a  firearm.  Affirmed  7/15/96,  Court  of  Appeal,  Fourth 
Appellate  District,  Ca.se  No.  D02375. 

SIGNIFICANCE:  In  March  1995, 1  was  one  of  three  judges 
assigned  to  handle  Three  Strike  cases  in  which  the  defendant  faced 
a  sentence  of  25  years  to  life  or  greater.  I  presided  over 
approximately  25-30,  Three  Strike  trials  that  year.  This  was  one  of 
them. 

FACTS:  Defendant,  on  parole  for  robbery,  is  a  passenger  in  a 
vehicle  during  a  traffic  stop  for  no  rear  license  plate.  Loaded 
sawed-off  shotgun  under  his  seat  and  extra  ammunition  in  his 
pocket. 

PROSECUTOR:  DEFENSE: 

Michael  Rimning,  Jr.  Daniel  Mangarin,  Esq. 

Deputy  District  Attorney  Alternate  Public  Defender 

P.O.  BoxX-1011  110West"C"St.,  Ste.  1100 

San  Diego,  C A  92 1 0 1  -3  825  San  Diego,  C A  92 1 0 1 

(619)531-3101  (619)236-2520 

2.  To  the  best  of  my  knowledge,  no  trial  I  have  presided  over,  court  or  jury,  has  been 

reversed.  My  only  reversals  have  been  on  pre  or  post  trial  rulings. 

a.  Writs  of  Mandate  have  been  granted  on  two  pre-trial 

rulings  1  made. 

1.  People  V.  Superior  Court  (Broderick")  1991.  231 
CA3  584.  San  Diego  Superior  Court  Case  No. 
CRl  12048 

SUMMARY:  The  people  sought  the  records  of 
mental  health  professionals  who  had  treated  or 
tested  the  defendant.  At  the  defendant's  first  trial, 
some  of  her  experts  had  relied  on  opinions  of  those 
professionals.  The  records  in  question  were  held  by 

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318 


professionals  who  had  not  testified. 

The  people  argued  that  the  psychotherapist  patient- 
privilege  had  been  waived  (I  agreed)  and  that  the 
attorney-client  and  work  product  privileges  were 
inapplicable.  The  defense  moved  to  quash  on  the 
grounds  that  service  of  the  doctors  was  untimely. 

I  quashed  the  subpoenas  on  the  basis  of  the 
California  right  against  self-incrimination  pursuant 
to  In  re  Meisner  (19851  38  Cal.3d  543.  (The  Court 
in  Meisner  followed  a  line  of  cases  that  prohibited 
disclosure  of  information  that  would  tend  to  lighten 
the  prosecution's  burden.  That  line  of  cases,  at  the 
time,  was  under  review  by  the  California  Supreme 
Court.) 

The  Appellate  Court  held  that  while  the  State  right 
against  self-incrimination  affords  greater  protection 
to  a  defendant  than  federal  law,  it  applies  only  to  the 
defendant  or  defense  team,  therefore,  each  record 
subpoenaed  should  be  examined  to  determine 
whether  or  not  it  is  protected. 

2..  Dalton  v.  Superior  Court  (1993)  19  CA4th  1506 

San  Diego  Superior  Court  Case  No.  CRl  35002 

SUMMARY:  Petitioner  was  charged  in  a  homicide 
case  in  which  the  People  sought  the  death  penalty. 
The  people  applied  for  an  order  to  examine, 
conditionally,  a  terminally  ill  witness.  I  granted  the 
order. 

The  issue  was  the  conflict  in  the  applicable  Penal 
Code  section  1335.  That  section  as  originally 
enacted,  clearly  prohibited  the  taking  of  a 
conditional  examination  in  a  case  "where  the 
punishment  may  be  death".  However,  in  1985,  the 
Legislature  enacted  the  current  version  of  section 
1335.  The  former  section  1335  became  subdivision 

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(a),  and  subdivisions  (b)  and  (c)  were  added.  They 
provided  that  when  a  defendant  is  charged  with  a 
serious  felony  as  listed  in  Penal  Code  section 
11 92.7(c),  a  conditional  examination  may  be 
ordered.  Section  1 192.7(c)(7)  includes  any  felony 
punishable  by  death. 

I  resolved  the  conflict  in  favor  of  the  prosecution  on 
the  basis  that  the  latest  statement  of  the  legislature 
permitted  conditional  examinations  in  death  penalty 
cases. 

b.         Over  one  hundred  of  my  cases  have  been  appealed. 
Three  have  been  reversed  and  remanded  for  further 
proceedings.  All  three  opinions  are  unpublished. 
One  case  involved  a  sentencing  issue;  one  was  a 
new  trial  motion  on  a  civil  case  and  another 
involved  review  of  a  municipal  court  case. 

1. People  V.  William  Gregg  -  Superior  Court  No. 
SCD  1 14438,  Court  of  Appeal  No.  D026006 

SUMMARY:  My  ruling  that  a  "foreign"  (non- 
California)  prior  conviction  did  not  qualify  as  a 
second  strike  under  the  Three  Strikes  law  (Penal 
Code  section  1 1 70. 1 2)  was  reversed  when  the 
California  Supreme  Court  decided  the  issue 
contrary  to  my  ruling.  The  People  subsequently 
entered  a  plea  bargain  in  which  the  defendant 
received  a  lesser  sentence  than  I  had  imposed. 

FACTS:  The  defendant  was  charged  with  Grand 
Theft.  He  had  two  "foreign"  prior  convictions. 
There  was  a  split  of  authority  as  to  whether  or  not  a 
"foreign"  prior  qualified  as  a  second  strike  under  the 
electorate's  version  of  the  Three  Strikes  law.  (Penal 
Code  section  1170.12). 

I  held  that  a  foreign  prior  could  only  be  used  as  a 
first  strike.  The  defendant  pled  guilty  and  was 

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320 

sentenced  to  prison  for  six  years  and  fined  $500. 

Subsequently,  in  People  v.  Hazelton.  (1996)  14 
Cal.4th  101,  the  California  Supreme  Court  held  that 
a  "foreign"  prior  qualified  as  a  second  strike.  The 
defendant  was  allowed  to  withdraw  his  plea  and  his 
"foreign"  prior  was  reinstated.  At  the  defendant's 
trial  readiness  conference,  the  People  entered  a  plea 
bargain  in  which  they  agreed  to  strike  the  "foreign" 
prior  in  return  for  the  defendant's  guilty  plea.  The 
defendant  received  a  six  year  sentence  and  a  $200 
fine. 

2.  People  V.  Robert  Richer.  Municipal  Court  Case 
No.  NCI 48237,  Superior  Court  Case  No.  CRN 
27384,  Court  of  Appeal  No.  D017934. 

SUMMARY:  My  ruling  that  the  Municipal  Court 
judge  did  not  abuse  his  discretion  by  refusing  to 
bind  over  the  defendant  on  a  marijuana  charge  was 
reversed  and  remanded.  Upon  reinstatement  of  the 
complaint,  the  People  accepted  a  plea  to  a 
misdemeanor  with  a  grant  of  summary  probation. 

FACTS:  The  complaint  against  the  defendant  was 
dismissed  by  the  magistrate  after  a  preliminary 
hearing.  Two  baggies  of  marijuana  seized  by  the 
police  were  identified  at  the  preliminary  hearing  by 
the  officers  as  the  ones  seized  from  the  defendant. 
The  officers  did  not  mark  the  baggies.  The 
magistrate  found  there  was  insufficient  evidence  to 
connect  the  baggies  to  the  defendant  as  a  "matter  of 
law. " 

The  People  sought  review  in  the  Superior  Court, 
pursuant  to  Penal  Code  section  871.5. 

It  is  not  an  element  of  any  criminal  offense  that 
evidence  seized  be  marked  by  the  officers.  Rather  it 
is  a  factual  issue  as  to  whether  or  not  the  item  seized 

Page  14 


321 


can  be  connected  to  the  defendant.  I  found  that  in 
dismissing  the  charges  against  the  defendant,  the 
magistrate  had  impliedly  ruled  that  the  officers' 
uncontradicted  testimony  identifying  the  baggies 
lacked  credibility.  That  would  be  a  controlling 
factual  finding  for  which  the  standard  of  review  is 
to  look  for  an  abuse  of  discretion.  The  Court  of 
Appeal  held  that  I  applied  the  wrong  standard  of 
review  because  the  magistrate  had  made  a  legal 
rather  than  factual  determination  that  the  baggies 
were  not  sufficiently  identified  to  be  admissible. 

3.  James  Morgan  v.  County  of  San  Diego,  Superior 
Court  No.  N41951,  Court  of  Appeal  No.  DO  17471 

SUMMARY:  My  ruling  that  jurors'  declarations 
submitted  in  support  of  the  plaintiffs  new  trial 
motion  were  inadmissible,  was  reversed.  The  matter 
was  remanded  for  a  hearing.  The  final  disposition  of 
the  case  was  the  entry  of  judgment  for  the 
defendant. 

FACTS:  Plaintiff  brought  a  new  trial  motion  based 
on  jury  misconduct.  The  jury  had  found  the 
defendant  not  liable  in  a  9-3  verdict.  The  three 
dissenting  jurors  filed  declarations  alleging 
misconduct.  Counter-declarations  were  filed  by 
other  jurors. 

I  held  them  inadmissible  because  they  dealt  with  the 
jurors'  subjective  reasoning  process  during  their 
deliberations.  The  appellate  court  disagreed, 
remanded  the  matter  and  directed  that  a  hearing  be 
held. 

3.         I  have  not  written  an  opinion  on  a  significant  state  or  federal 
constitutional  issue. 


Page  15 


322 


1 6.  Public  Office:  State  (chronologically)  any  public  offices  you  have 
held,  other  than  judicial  offices,  including  the  terms  of  service  and 
whether  such  positions  were  elected  or  appointed.  State 
(chronologically)  any  unsuccessful  candidacies  for  elective  public 
office. 

ANSWER:     None. 

17.  Legal  Career 

a.  Describe  chronologically  your  law  practice  and 

experience  after  graduation  from  law  school 
including: 

1 .  Whether  you  served  as  clerk  to  a 
judge,  and  if  so,  the  name  of  the 
judge,  the  court,  and  the  dates  of  the 
period  you  were  a  clerk; 

ANSWER:      I  did  not  serve  as  a  clerk  to  a  judge 

2.  Whether  you  practiced  alone,  and  if 
so,  the  addresses  and  dates; 

ANSWER:      I  did  not  practice  alone. 

3.  The  dates,  names  and  addresses  of 
law  firms  or  offices,  companies  or 
governmental  agencies  with  which 
you  have  been  connected,  and  the 
nature  of  your  connection  with  each; 

ANSWER:  1%5-1969 

Contracts  Administrator 

New  Product  Development/Customer  Service  Dept. 

General  Dynamics  Corporation,  Convair  Division 

San  Diego.  California 

(The  Convair  Division  is  closed  and  the  buildings  have 

been  torn  down.) 


Page  16 


323 


1969-1990 

Deputy  District  Attorney 
County  of  San  Diego,  California 
Office  of  the  District  Attorney 
230  West  Broadway 
San  Diego,  California  92101 


1990-Present 

Superior  Court  Judge 

State  of  California,  County  of  San  Diego 

Courthouse 

220  West  Broadway 

San  Diego,  California  92101 


4.  What  has  been  the  general  character 
of  your  law  practice,  dividing  it  into 
periods  with  dates  if  its  character  has 
changed  over  the  years? 

ANSWER:      1  was  a  prosecutor  primarily  assigned  as  a  trial  attorney.  My  first 
homicide  trial  was  in  October  1971  and  my  last  homicide  trial  was 
in  December  1989.  My  assignments  included:  Chief,  Branch 
Office  Division;  Chief  Municipal  Court  Division;  Superior  Court 
Trial  Team  Leader;  Deputy  in  charge  of  North  County  Branch 
Office;  Deputy  in  charge  of  East  County  Branch  Office  and  an 
assignment  in  the  Consumer  Fraud  Division. 

5.  Describe  your  typical  former  clients, 
and  mention  the  areas,  if  any,  in 
which  you  have  specialized. 


ANSWER:  Citizens  who  were  crime  victims.  I  specialized  in 

criminal  law. 

6.         Did  you  appear  in  court  frequently, 
occasionally,  or  not  at  all/  if  the 
frequency  of  your  appearances  in 

Page  17 


324 


ANSWER: 


ANSWER: 


ANSWER: 


ANSWER: 


ANSWER: 


ANSWER: 


court  varied,  describe  each  such 
variance,  giving  dates. 


Frequently. 


Zero 

100% 

Zero 
7. 


What  percentage  of  these 
appearances  was  in: 
(a)  federal  court 


state  courts  of  record 


other  courts 


What  percentage  of  your  litigation 

was: 

(a)  civil 


As  attorney  5% 

(b)  criminal 
As  attorney  95% 
8. 


State  the  number  of  cases  in  courts  of 
record  you  tried  to  verdict  or 
judgment  (rather  than  settled), 
indicating  whether  you  were  sole 
counsel,  chief  counsel,  or  associate 
counsel. 


ANSWER:      I  was  sole  counsel  in  more  than  200  cases. 
9. 


What  percentage  of  these  trials  was: 
(a)  jury 

Page  18 


ANSWER: 


325 


ANSWER:      98% 


ANSWER:      2% 


(b)  non-jury 


1 8.       Litigation:  Describe  the  ten  most  significant  litigated  matters 

which  you  personally  handled.  Give  the  citations,  if  the  cases  were 
reported,  and  the  docket  number  and  date  if  unreported.  Give  a 
capsule  summary  of  the  substance  of  each  case.  Identify  the  party 
or  parties  whom  you  represented;  describe  in  detail  the  nature  of 
your  participation  in  the  litigation  and  the  final  disposition  of  the 
case.  Also  state  as  to  each  case: 

(a)  the  date  of  representation 

(b)  the  name  of  the  court  and  the  name  of  the  judge  or 
judges  before  whom  the  case  was  litigated;  and 

(c)  the  individual  name,  addresses,  and  telephone 
numbers  of  co-counsel  and  of  principal  counsel  for 
each  of  the  other  parties. 


1.  People  V.  David  Alan  Weeding.  Case  No.  CRH97175; 


Jury  trial.  Guilt  phase 

Penalty  phase 


9/12/89-11/21/89 
12/4/89-12/11/89 


Guilty,  V  Degree  Murder,  with  special  circumstances.  Sentenced 
to  life  without  possibility  of  parole.  Affirmed  3/30/92,  Court  of 
Appeal,  Fourth  Appellate  District,  Case  No.  DOl  1715. 

FACTS:  The  victim,  an  editor  for  a  local  newspaper.  The  Daily 
Californian,  came  home  for  lunch  and  interrupted  defendant's 
attempt  to  rape  his  wife.  He  was  stabbed  to  death.  Defendant  had 
posed  as  a  repairman  to  gain  entry  and  left  his  clipboard  behind. 
The  Investigation  revealed  an  imprint  of  vehicle's  license  plate 
number  fi-om  paper  on  the  clipboard.The  owner  of  that  vehicle  had 
his  car  repaired  at  the  defendant's  radiator  shop.  Defendant  was  on 
Federal  parole  for  rape. 


Page  19 


326 


Trial  Judge:  Defense: 

Hon.  Wayne  Peterson  Robert  Boume,  Esq. 

Superior  Court  1230  Columbia  St.,  Ste.  680 

San  Diego,  California  92 1 0 1  San  Diego,  CA  92 1 0 1 

(619)531-3590  (619  238-1124 

2.         People  V.  Daniel  Alstadt.  Case  No.  CR  342 1 9 

Jury  trial,  Guilt  phase  6/16/75  -  7/1 1/75 

Sanity  phase  7/21/75-7/24/75 

Guilty  of  two  counts  of  P  Degree  murder.  Manslaughter  and 
Arson.  Found  sane  on  1"  Degree  Murder;  insane  at  time  of  other 
offenses.  Affirmed  1 1  '22/76,  Court  of  Appeal,  Fourth  District  Case 
No.  4CRIM.  No.  8225.  California  Supreme  court  denied  review 
and  United  States  Supreme  Court  denied  certiorari  ('77  term). 
Sentenced  to  life  in  prison. 

FACTS:  The  defendant,  a  high  school  honor  student,  wrote  and 
photocopied  an  invitation  to  a  non-existent  party  to  provide 
himself  with  an  alibi.  He  waited  until  parents  and  brother  were 
asleep  and  his  sister  returned  from  her  bridal  shower,  then  attacked 
them  all  with  his  Boy  Scout  hatchet.  He  ransacked  the  house  and 
removed  several  large  items  (e.g.,  a  TV  set)  to  mislead  police  into 
believing  a  burglary  had  been  committed.  He  set  the  house  on  fire, 
so  neighbors  would  call  the  fire  department  and  discover  the 
bodies.  He  drank  two  cans  of  beer  before  leaving  and  disposing  of 
the  "stolen  goods,"a  hatchet  and  gloves  he  wore  during  the 
murders.  He  returned  home  after  the  firefighters  and  police  had 
arrived  and  said  he  had  been  at  a  party.  His  brother  survived  but  is 
a  quadriplegic.  He  refused  to  testify  against  the  defendant. 

Trial  Judge:  Defense: 

Hon.  William  T.  Low  (Ret.)  Hon.  Donald  L.  Meloche 

Residence  is  confidential.  Courthouse,  250  E.  Main 

El  Cajon,  CA 
(619)441-4600 


Page  20 


327 

People  V.  Winford  Bullard.  Case  No.  CR 19692 

Jury  trial  '5/19/70-5/22/70 

Guilty  Possession  of  a  Machine  Gun  (California 
Penal  Code  Section  12220) 


FACTS:  The  defendant,  allegedly  a  member  of  the  militant  group 
"US,"  borrowed  a  car  from  a  friend  in  Los  Angeles  at  1 1  p.m.  to 
"do  errands".  He  was  arrested  early  the  following  morning  in  San 
Diego  following  a  traffic  stop  and  the  police  found  a  loaded 
machine  gun,  two  clips  and  three  boxes  of  ammunition  inside  the 
car.  Law  enforcement  believed  the  gun  was  going  to  be  used  to 
"avenge"  the  recent  raking  of  the  "US"  Temple  in  San  Diego  with 
an  automatic  weapon  by  the  Black  Panthers. 

Trial  Judge:  Defense: 

Hon.  James  Focht  Lawrence  Kuerbis,  Esq. 

(Deceased)  275  E.  Douglas  Ave.,  Ste.  102 

El  Cajon,  California  92020 

(619)588-0440 

People  V.  John  Anthony  Burvk.  Michael  Gordon  McKirdv.  Rodney  Rav 
Richardson.  Case  Nos.  CR  23688,  CR  23689 

Jury  Trial  8/17/71-8/31/71 

Buryk  and  McKirdy  were  found  guilty  of  Assault  with  a  Deadly 
Weapon  on  a  Peace  Officer  and  Failure  to  Disperse.  Richardson 
was  found  not  guilty.  Affirmed  on  Appeal,  2/26/73,  Court  of 
Appeal,  Fourth  District  Case  No.  4  CRIM  5074. 


FACTS:  After  a  rally  and  "guerrilla  theater"  against  the  Vietnam 
War,  the  participants  paraded  to  a  nearby  park  to  protest  the  sale  of 
a  portion  of  the  park  to  a  private  developer.  Eventually,  an 
unlawful  assembly  was  declared.  The  group  refused  to  disperse  and 
threw  rocks,  bottles  and  concrete  at  the  officers.  A  police  officer 
lost  his  eye  trying  to  disperse  the  crowd.    During  the  trial  a 
"spectator"  attempted  to  photograph  an  undercover  officer  while  he 
testified.  Also,  the  underground  newspaper  The  Street  Journal 

Page  21 


328 


published  the  description,  vehicle  information  and  other 
identifying  information  of  the  wife  and  children  of  an  undercover 
police  officer  who  had  infiltrated  the  group  that  sponsored  the 
rally. 

(A  witness  at  the  trial,  who  identified  one  of  the  defendants  is  now 
an  attorney  in  San  Diego  -  Charles  Guthrie,  Esq.  444  West  "C" 
Street,  Suite  140,  San  Diego,  California  92101,  (619)  233-8044.) 


Trial  Judge:  Defense: 

Hon.  Ross  Tharp  (Ret.)  J.  Thomas  Bowden 

Residence  is  confidential.        17210  Archie  Moore  Rd. 

Ramona,  CA  92065 

(760)  789-9993 

Charles  T.  Bumer 
(Deceased) 
Leonard  G.  Krup 
(No  longer  in  practice; 
Whereabouts  unknown.) 

People  V.  Bvron  Lynn  Metzger.  San  Diego  Superior  Court  Case  No.  Cr 
39272 

Jury  trial  8-3-77  to  8-8-77 

Guilty,  Assault  with  a  Deadly  Weapon  and  Possession  of  a  switch-blade  knife. 

FACTS:  The  victim,  a  San  Diego  undercover  female  police 
officer,  was  posing  as  a  prostitute  on  a  street  comer  in  downtown 
San  Diego.  She  was  approached  by  the  defendant,  a  transvestite, 
who  suddenly  lunged  at  her  and  stabbed  her  in  the  chest.  The 
ofTicer  was  hospitalized  and  in  the  intensive  care  unit  for  five  days. 
The  defendant  was  upset  because  the  officer  was  working  his 
comer. 

Trial  Judge  Defense: 

Hon.  Raul  Rosado  (Ret.)  G.  Anthony  Gilliam,  Esq. 

Residence  is  confidential  275  E.  Douglas,  Ste.  1 14 

El  Cajon,  California  92020 

(619)  588-8483 


Page  22 


329 


People  V.  William  Wesley  Allen.  Jr..  San  Diego  Superior  Court  Case  No. 
CR43154 

Jury  Trial  6/20/78  -  7/6/78 

Guilty,  P'  Degree  Murder,  Sentenced  to  life  in  prison.  Affirmed  on 
appeal,  9/21/79,  Court  of  Appeal,  Fourth  District,  Case  No.  4 
CRIM,  No.  1 10-32,  Writ  of  Habeas  Corpus  denied,  Court  of 
Appeal,  Fourth  District,  1 1-7-83,  Case  No.  4  CRIM  No.  15457. 


FACTS:  The  victim  was  found  dead  in  his  frontyard  by  his  sister 
who  was  coming  home  from  babysitting  at  1  ;00  a.m.  He  died  of  a 
gunshot  to  the  head.  The  defendant  contended  that  he  had 
confronted  the  victim  regarding  a  threat  the  victim  had  made  to  the 
defendant's  girlfriend.  (The  defendant  and  victim's  girlfriend  were 
living  together).  The  defense  was  self-defense  or  "sudden 
quarrel/heat  of  passion"  (i.e.,  manslaughter)  and  a  vague  defense  of 
others. 

Trial  Judge:  Defense: 

Hon.  Roy  Fitzgerald  Douglas  V.  Brust,  Esq. 

(Deceased)  Shifflet,  Walters,  Kane  &  Konoske 

750  B  St.,  26"'  Fir. 

San  Diego,  C A  92101 

(619)239-0871 

7.         People  v.  Dave  Z.  Elliott.  San  Diego  Superior  Court  Case  No.  CR  35383 

Jury  Trial  10/30/75-11/4/75 

Guilty,  Possession  of  Explosives  and  Cultivation  of  Marijuana. 
Affirmed  on  appeal,  1/24/77,  Court  of  Appeal,  Fourth  District  case 
No.  4  CRIM.  No.  8309 


FACTS:  The  defendant  in  this  case  was  the  Chief  of  the 
Manzanita  Indian  Tribe.  The  day  after  a  fire  near  the  defendant's 
residence,  a  firefighter,  checking  for  hot  spots  saw  the  defendant 
carrying  a  two-foot  tall  marijuana  plant.  Subsequent  service  of  a 
search  warrant  revealed  74  additional  marijuana  plants  and  seven 
cases  of  dynamite,  blasting  caps  and  detonating  cord.  The 
defendant's  minor  son  testified  the  marijuana  plants  were  his  but 
denied  knowledge  of  the  dynamite.   18  USC  section  1 162(a)  gives 
California  courts  jurisdiction  over  all  crimes  committed  on  Indian 

Page  23 


330 


Reservations  located  within  the  state. 

Trial  Judge:  Defense: 

Hon.  Roy  G.  Fitzgerald  Dean  Bekken,  Esq. 

(Deceased)  7 1 62  Calabria  Ct.,  Suite  A 

San  Diego,  CA  92122 
(619)453-1553 

8.  People  V.  Johnny  Ray  Mendez.  San  Diego  Superior  Court  Case  No.  CR74705 

Jury  Trial         9/11/85-9/16/85 

Guilty,  Robbery  with  use  of  a  knife.  Sentenced  to  State  Prison  for 
9  years.  Affirmed  on  Appeal,  1 1/86,  Court  of  Appeal,  Fourth 
District,  Case  No.  D003960. 

FACTS:  The  victim,  who  was  in  the  United  States  Navy,  asked 
two  Hispanic  males  if  they  knew  where  he  could  find  a  prostitute. 
They  pulled  a  knife  and  took  his  car.  The  car  was  located,  parked 
and  unoccupied,  a  few  hours  later.  The  defendant  and  a  female 
were  walking  adjacent  to  the  car  when  approached  by  the  police. 
The  defendant  ran  and  broke  both  arms  jumping  ft-om  a  roof  (He 
later  claimed  thats  he  ran  because  he  was  on  parole.) 
Defendant's  clothes  did  not  match  the  description  of  the  clothes 
worn  by  the  robber.  Nine  fingerprint  were  successfully  lifted  from 
the  car,  but  none  were  the  defendant's.  The  defendant  was  25  with 
a  moustache  and  earring.  The  victim  described  the  robber  as  17, 
clean  shaven  and  did  not  recall  the  earring.  A  polygraph  at  the 
defendant's  request  was  inconclusive. 

Trial  Judge;  Defense: 

J.  Perry  Langford  (Ret.)  Edward  J.  Peckham 

Address  is  confidential  1 85  West  F  St.,  Ste.  700 

(619)231-9101 

9.  People  v.  Juan  Frederick  Mortimer.  San  Diego  Superior  Court  Case  No.  CR 
35748 

Jury  Trial  2/17/76-2/26/76 

Guilty,  Igniting  an  explosive  device  (California  Penal  Code  Section  12303.3) 

Case  investigated  by  Treasury  Department,  Bureau  of  Alcohol, 
Tobacco  and  Firearms.  (Case  No.  3908  0975  601 1  K) 


Page  24 


331 


FACTS;  At  approximately  1 1 :30  p.m.  an  employee  of  the  Aztec 
Bus  Company,  whose  buses  were  being  used  to  transport  non- 
union workers  during  a  strike,  saw  someone  park  their  car  and 
enter  the  bus  parking  lot.  He  then  saw  the  man  walk  quickly  from 
between  parked  buses,  get  into  his  car  and  leave  with  his 
headlights  off. 

The  employee  found  three  sticks  of  dynamite  under  the  wheels  of 
one  of  the  buses.  A  detonating  cord  had  been  lit  but  went  out 
because  the  gunpowder  in  the  cord  had  fallen  out  when  the  cord 
was  cut.  A  matchbook  labeled  "Solar  Employee  Federal  Credit 
Union,"  the  company  that  was  the  subject  of  the  strike,  was  found 
at  the  scene.  (Only  one  match  was  missing.) 

The  defendant  reported  his  car  stolen  the  next  morning.  The  Aztec 
bus  line  employee  was  shown  four  photos  of  picket  lines  in  front  of 
the  Solar  plant.  He  identified  the  defendant  in  three  of  the  photos. 

Trial  Judge:  Defense: 

Hon.  Ross  Tharp  (Ret.)  Charles  T.  Bumer 

Residence  is  confidential  (Deceased) 


10.       People  V.  Thomas  Earl  Sheppard.  San  Diego  Superior  Court  Case  No. 
CR24240 

Jury  Trial         10/6/71-10/28/71 
Guilty,  Voluntary  Manslaughter 


FACTS:  Defendant  had  not  seen  his  wife  for  four  days.  She  had 
been  staying  with  another  man  in  a  hotel  room.  She  called  and 
said  she  had  decided  to  return  home.  She  then  asked  her  husband  to 
take  her  to  pick  up  her  clothes  at  the  motel  where  she  had  been 
staying.  When  they  arrived  at  the  motel,  shortly  after  midnight,  the 
wife's  lover  was  in  bed  asleep.  During  a  subsequent  fight,  the 
wife's  lover  was  fatally  cut  with  a  knife.  The  defendant  went  to  the 
police  department  and  reported  the  incident. 

Trial  Judge:  Defense: 

Hon.  Ross  Tharp  (Ret.)  James  W.  Tetley 

Residence  is  Confidential  (Deceased) 


Page  25 


332 


The  following  is  a  list  of  attorneys  who  have  had  recent  contact  with  me  and  Court  of 
Appeal  Justices  that  review  my  trials. 


Peter  J.  Hughes,  Esq. 

1010  Second  Avenue,  Suite  1917 

San  Diego,  C A  92101 

(619)  234-6695 


Michael  Berg,  Esq. 
401  West  A  St.,  Ste.  2100 
San  Diego,  CA  921 01 
(619)239-2186 


Ms.  Kerry  Wells 

Deputy  District  Attorney 

P.O.  BoxX-1011 

San  Diego,  CA  92101-3825 

(619)575-8605 


Jeffrey  Dusek 

Deputy  District  Attorney 

P.O.  BoxX-1011 

San  Diego,  CA  92101-3581 

(619)531-3581 


Edward  D.  Chapin,  Esq. 
Chapin,  Fleming  &  Winet  APC 
501  West  Broadway,  15"'  Floor 
San  Diego,  California  92101 
(619)232-4261 


Robert  G.  Steiner,  Esq. 

Luce,  Forward,  Hamilton  &  Scripps,  LLP 

600  West  Broadway,  Suite  2600 

San  Diego,  California  92101 

(619)699-2464 


Hon.  Daniel  J.  Kremer 

Presiding  Judge 

Court  of  Appeal,  Fourth  District 

750  B  Street,  Ste.  300 

San  Diego,  California  92101 

(619)645-2761 


Hon.  Richard  D.  Huffman 

Court  of  Appeal,  Fourth  District 

750  B  Street,  Ste.  300 

San  Diego,  California  92101 

(619)645-2766 


Hon.  Judith  Haller 

Court  of  Appeal,  Fourth  District 

750  B  Street,  Ste.  300 

San  Diego,  California  92101 

(619)645-2751 


Hon.  Gilbert  Nares 

Court  of  Appeal,  Fourth  District 

750  B  Street,  Ste.  300 

San  Diego,  California  92101 

(619)645-2838 


1 9.        Legal  Activities:  Describe  the  most  significant  legal  activities  you 
have  pursued,  including  significant  litigation  which  did  not 
progress  to  trial  or  legal  matters  that  did  not  involve  litigation. 
Describe  the  nature  of  your  participation  in  this  question,  please 
omit  any  information  protected  by  the  attorney-client  privilege 
(unless  the  privilege  has  been  waived.) 


Page  26 


333 


ANSWER:      In  addition  to  my  service  on  the  Judicial  Council  Committees 

previously  mentioned,  I  believe  the  most  significant  legal  activity  I 
am  currently  pursuing  is  the  re-writing  of  all  Civil  and  Criminal 
California  Jury  Instructions. 

The  Judicial  Council's  direction  to  the  members  of  its  Task  Force 
on  Jury  Instructions  is  to  draft  new  instructions  that  are  easily 
understandable.  We  were  asked  to  disregard  the  current 
instructions  and  begin  anew.  The  Task  Force  has  27  members, 
including  law  professors,  public  and  private  attorneys,  public 
members.  Court  of  Appeal  justices  and  judges.  I  am  one  of  eight 
Superior  Court  judges  on  the  committee. 

My  most  significant  completed  project  was  my  work  on  the 
"Workplace  Sexual  Harassment  and  Awareness"  project  that  was 
completed  earlier  this  year.  The  project  was  funded  by  the  State 
Justice  Institute  to  produce  a  model  curriculum  for  use  by  courts 
nationwide.  In  January  1998,  the  finalized  court-based  curriculum 
was  presented  to  a  conference  in  Oakland,  California  to 
representatives  of  the  California  state  courts  for  their  use  in 
planning  programs  for  their  respective  court  employees  and  judges. 

I  believe  the  most  sigiuficant  contribution  I  made  to  the  California 
legal  profession  as  an  attorney  was  my  14  years  of  service  in  the 
State  Bar  disciplinary  system.  I  served  as  a  hearing  referee, 
probation  monitor,  member  of  the  Disciplinary  Board  and  member 
of  the  Review  Department  of  the  State  Bar  Court. 


Page  27 


334 


II.  FINANCIAL  DATA  AND  CONFLICT  OF  INTEREST  (PUBLIC) 

Judge:  Thomas  J.  Whelan 

1 .  List  sources,  amounts  and  dates  of  all  anticipated  receipts  from 
deferred  income  arrangements,  stock,  options,  uncompleted 
contracts  and  other  future  benefits  which  you  expect  to  derive  from 
previous  business  relationships,  professional  services,  firm 
memberships,  former  employers,  clients,  or  customers.  Please 
describe  the  arrangements  you  have  made  to  be  compensated  in  the 
future  for  any  financial  or  business  interest. 

ANSWER:  1  do  not  anticipate  any  receipts  or  future  benefits  from  any  prior  business 
relationship,  client  or  customer.  My  previous  employment  with  the  San  Diego  County  District 
Attorneys  Office  entitles  me  to  a  retirement  allowance  from  the  San  Diego  County  Retirement 
Plan. 

2.  Explain  how  you  will  resolve  any  potential  conflict  of  interest, 
including  the  procedure  you  will  follow  in  determining  these  areas 
of  concern.  Identify  the  categories  of  litigation  and  financial 
arrangements  that  are  likely  to  present  potential  conflicts-of- 
interest  during  you  initial  service  in  the  position  to  which  you  have 
been  nominated. 

ANSWER:  1  know  of  no  potential  financial  conflicts  of  interest  but  in  all  matters  I  will  follow 
the  Code  of  Judicial  Conduct.. 

3.  Do  you  have  any  plans,  commitments,  or  agreements  to  pursue 
outside  employment,  with  or  without  compensation,  during  your 
service  with  the  court?  If  so,  explain. 


ANSWER:  No. 


List  sources  and  amounts  of  all  income  received  during  the 
calendar  year  preceding  your  nomination  and  for  the  current 
calendar  year,  including  all  salaries,  fees,  dividends,  interest,  gifts, 
rents,  royalties,  patents,  honoraria,  and  other  items  exceeding  $500 
or  more  (if  you  prefer  to  do  so,  copies  of  the  financial  disclosure 
report,  required  by  the  Ethics  in  Government  Act  of  1978,  may  be 
substituted  here. 

Page  1 


335 


ANSWER:  See  Financial  Disclosure  Report. 

5.  Please  complete  the  attached  financial  net  worth  statement  in 
detail.  (Add  schedules  as  called  for). 

ANSWER:  Financial  Net  Worth  Statement,  attached. 

6.  Have  you  ever  held  a  position  or  played  a  role  in  a  political 
campaign?  If  so,  please  identify  the  particulars  of  the  campaign, 
including  the  candidate,  dates  of  the  campaign,  your  title  and 
responsibilities. 

ANSWER:  No. 


Page  2 


336 


0«    ll'»»     TUt    IT  0»   FAJ 


9  002 


d?-lh    "1 


nNANClAL    DISCLOSURE    REPORT 

roR  calindar  year  1997 


M^nri  'cvwKrtf  !>'  (At  Cl/W# 
OUSC  Art  '  lOllll] 


I.  ftntm  lap*r«af  (ItM  mmm.  fnl.  aaMb  mmml) 

Whelan,  Thomas  J. 


U.S.  Dist.  Judge  -  Nominee 


T.  CW«*<n<rOa>f  AMran 

Presiding  Judge 
San  Diego  Superior  Coui 
220  West  Broadway 
San  Diego,'  CA  92101 


L  Cn<\  or  nr|i«ailiM 

U.S.  District  Court 

Southern  Dist.  nf  California   June  19.  19 


.Nomiimion.  D«J  0  -  4  -  9  '3 


1/1/97  to  5/30/98 


I-       MA*  baiti  cf  iW  ia^rmaOM  MMaiacrf  ■•  rhif  R«Mr1 1 


Il«w4««tai  Onk<r  _ 


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WAME   OP    ORnAMIZATIQN/gMTITY 


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n.  AGREEMENTS. /iiv^n«M.UiW«ii^»r^/iy<V«ux«wvv 


D 


DATE 

NONI  (NgiiygnatKitnaHaa-) 


PARTIES    AND   TERMS 


County   of   San    Diego    Retirement    Plan    -    No   control 


III.  NON-INVESTMENTINCOME.  r)tw»«i»WM<ww,,-«.  -.^  ;7-;<V^*u-i«<»»; 

Q&IE  SOURCE  ANP  TYPE 


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1996  State  of  California  Judicial  Salary 

1997  State  of  California,  Judicial  Salary 


1998  to  date  S_tate  of  California,  Judicial  Salary 


1996  .County  of  San  Diego,  Retirement 

1997  County  of  San  Diego,  Retirement 
1993  to  date  County  of  San  Diego,  Retirement 
1996-to  date   Diocese  of  San  Diego,  Spouse's  Salary 


N/A 


337 


o«/ii/>i  Tin;  IT :o>  Pax 


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finanoal  disclosure  report 


Thomas  J.  Whelan 


6-19-98 


IV.   REIMBURSEMENTS  -  vaupomwa.  lo4t«t.  (xX  w<«ul<wwu. 

(lm€l<-*4  A«»  It  wt  m^  m^'Jtiu  MUnK  <m  iht  ftnMtmhttU  yS)' m^ '(OCr  u  •>4%nu  nftr—Ut 

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SOURCE  DESCRIPTTOW 


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i r»-n5.ooo;i»i-s5aoqojoo    f^«|».o«;o»(  omwt  _ I 


338 


0«/U.9»     THV   IT   09   PAl 


121004 


FINANCIAL  DISCLOSURE  REPORT 


Thomas  J.  Whelan 


"bM«/E»«,  1 

6-19-98 


VII.  Page  1  INVESTMENTS  •nd  TRUSTS  ~  income,  value,  transactioos  ff-c(w«  j.«.  ./ 


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FINANCIAL  DISCLOSURE  REPORT 


Thomas    J.    Whelan  j  6/19/98 


VIII.  ADDITIONAL  INFORMATION  OR  EXPLANATIONS  (Indlcilc  part  or  Report.) 


IX.  CERTIFICATION.  ry 

In  compliincs  with  th»  piovbJaaj  of  21  U  J.C  }  455  and  of  Advitory  Opinion  No.  57  of  (he  Advisory  Committn  on  Judicial  ActivAt^ 
and  to  dx  ben  of  ny  knowledge  after  nuonaUa  iDqnary,  I  did  not  perfonn  any  adjudicatory  ftinetion  tn  my  litigation  during  the  period  o^^^ 
by  tfiit  nport  in  which  L  my  spogsa,  or  my  odaor  or  dcpandcnt  children  had  a  flnaacial  interest,  ai  dcToicd  in  Canon  3C0Xc).  in  the  wtcoma 
of  such  litigation.  ^'^^^ 

I  certify  that  all  fnfornatioo  glvco  above  (including  infbnnation  peftainlng  to  my  spouse  and  minor  or  dependent  children,  if  any)  ii 
accurate,  true,  and  complete  to  (be  'jcsI  of  my  knowledge  and  belief,  and  that  any  infomiation  not  npoited  was  withheld  because  h  met 
applicable  statutory  provisions  permlniog  noo-disckwure. 

I  fiuthcr  ccrti^  that  emied  incain*  from  outside  employmcol  and  honoraria  and  die  acceptance  of  gifts  which  have  been  itponcd  are  in 
cofflptiancc  with  the  provitioiu  of  5  U.S.C.  app.  4.  §  501  et  seq.,  S  U.S.C.  f  7353  and  Judicial  Conference  regulationii. 


Si«nitufe //yfl^Mt^A^  i^^-f*^ . Dace ft/IQ/QB 


NOTl:  ANY  [NDrVIDUAL  WHO  KNOWINOI.Y  AND  WILFULLY  FALSIFIES  OR  FAILS  TO  FILE  THIS  REPORT  MAY  BE 
SUBrtCT  TO  CIVIL  AND  CRIMINAL  SANCTIONS  (J  U.S.C.  App.  4.  §  104 ) 


FlUNG  INSTRUCTIONS: 


Mail  signed  original  and  3  additional  copies  to:  CoBuniBtc  oaFiojitcial  Disdosure 

AdmiBiitraiiye  OfOce  of  ihs 

Uhited  Statu  Courts 
Suite  2-30 1 

On*  Cohimbus  Cifclf .  N  E. 
Washington.  O  C.  20544 


340 


NET  WORTH 


Judge:  Thomas  J.  Whelan 


.^''**'*'*'^'**'««™'fi'»*'>=l«in«*on'>««aneat  Which  itemkuUH.^-. 
tn useu  (Including  buk aoeouno, rul etttte,  teearirie*,  trwo. tavMBncnu.  •ndo^a^.T^ 

yoonelt  your  ipooie,  ud  other  fanmedlitB  oemben  of  your  hoosehold.  "•««««)  of 


341 

SCHEDULE 

Real  estate  owned: 

Residence: 

San  Diego,  California  $275,000 

Spouse: 

50%  interest  in  residence 
3662  Texas  Street 

San  Diego,  California  S  60.000 

$335,000 


Real  Estate  Mortgages  Payable: 


San  Diego  County  Employees 

Credit  Union  $  38,500 


Page  3 


342 


III.  GENERAL  (PUBLIC) 

1 .  An  ethical  consideration  under  Canon  2  of  the  American  Bar 
Association's  Code  of  Professional  Responsibility  calls  for  "every 
lawyer,  regardless  of  professional  prominence  or  professional 
workload,  to  find  some  time  to  participate  in  serving  the 
disadvantaged."  Describe  what  you  have  done  to  fulfill  these 
responsibilities,  listing  specific  instances  and  the  amount  of  time 
devoted  to  each. 

ANSWER:      As  a  Deputy  District  Attorney,  I  was  prohibited  by  law  from  providing  legal 
services  to  individuals.  However,  with  regard  to  nonprofit  organizations,  I  was  a  member  of  the 
Board  of  Directors  of  the  San  Diego  Camp  Fire  Council  from  1973-1979.  I  also  served  as  Vice- 
President  fi-om  1976-1979.  Their  by-laws  prohibited  a  longer  term. 

I  also  served  as  a  volunteer  arbitrator  for  the  California  State  Bar,  Mandatory  Fee  Arbitration 
Program  from  1979-1987. 

2.  The  American  Bar  Association's  commentary  to  its  Code  of 
Judicial  Conduct  states  that  it  is  inappropriate  for  a  judge  to  hold 
membership  in  any  organization  that  invidiously  discriminates  on 
the  basis  of  race,  sex,  or  religion.  Do  you  currently  belong,  or  have 
you  belonged,  to  any  organization  which  discriminates  -  through 
either  formal  membership  requirements  or  the  practical 
implementation  of  membership  policies?  If  so,  list,  with  dates  of 
membership.  What  you  have  done  to  try  to  change  these  policies? 

ANSWER:  Knights  of  Columbus  -  1971-1973.  San  Diego  County  Camp  Fire  Girls,  member 
board  of  directors  1973-1979.  During  my  tenure  on  the  board,  the  organization  changed  its 
charter  to  admit  boys  and  renamed  itself,  San  Diego  Coimty  Camp  Fire  Council. 

3.  Is  there  a  selection  commission  in  your  jurisdiction  to  recommend 
candidates  for  nomination  to  the  federal  courts?  If  so,  did  it 
recommend  your  nomination?  Please  describe  your  experience  in 
the  entire  judicial  selection  process,  from  beginning  to  end 
(including  the  circumstances  which  led  to  your  nomination  and 
interviews  in  which  you  participated). 


Page  1 


343 


ANSWER:  Yes.  Yes. 


I  sent  Senator  Feinstein  a  resume  and  requested  an  application.  After  completing  the  application, 
I  was  interviewed  by  a  committee  comprised  of  prominent  attorneys  and  a  retired  Court  of 
Appeals  Judge.  After  they  completed  their  interview  of  the  top  applicants,  they  forwarded  three 
names  to  Senator  Feinstein.  She  personally  interviewed  all  three  fmalists.  Letters  supporting  my 
nomination  were  sent  to  her  by  individuals  and  organizations,  including  the  Presiding  Justice  of 
the  Court  of  Appeal  and  PORAC  (Peace  Officers  Research  Association  of  California).  Senator 
Feinstein  personally  notified  me  of  her  recommendation  of  me  to  the  President.  The  Department 
of  Justice  had  me  come  to  their  offices  in  Washington,  D.C.  for  an  interview.  1  was  then 
interviewed  in  San  Diego  by  agents  of  the  Federal  Bureau  of  Investigation  and  by  a 
representative  of  the  American  Bar  Association. 

4.         Has  anyone  involved  in  the  process  of  selecting  you  as  a  judicial 
nominee  discussed  with  you  any  specific  case,  legal  issue  or 
question  in  a  manner  that  could  reasonably  be  interpreted  as  asking 
how  you  would  rule  on  such  case,  issue,  or  question?  If  so,  please 
explain  fully. 


ANSWER:  No. 


Please  discuss  your  views  on  the  following  criticism  involving 
"judicial  activism." 

The  role  of  the  Federal  judiciary  within  the  Federal  government, 
and  within  society  generally,  has  become  the  subject  of  increasing 
controversy  in  recent  years.  It  has  become  the  target  of  both 
popular  and  academic  criticism  that  alleges  that  the  judicial  branch 
has  usurped  many  of  the  prerogatives  of  other  branches  and  levels 
of  government. 

Some  of  the  characteristics  of  this  "judicial  activism"  have  been 
said  to  include: 

a.  a  tendency  by  the  judiciary  toward  problem-solution 
rather  than  grievance-resolution; 

b.  a  tendency  by  the  judiciary  to  employ  the  individual 
plaintiff  as  a  vehicle  for  the  imposition  of  far- 
Page  2 


344 


reaching  orders  extending  to  broad  classes  of 
individuals; 

c.  a  tendency  by  the  judiciary  to  impose  broad, 
affirmative  duties  upon  governments  and  society; 

d.  a  tendency  by  the  judiciary  toward  loosening 
jurisdictional  requirements  such  as  standing  and 
ripeness;  and 

e.  a  tendency  by  the  judiciary  to  impose  itself  upon 
other  institutions  in  the  manner  of  an  administrator 
with  continuing  oversight  responsibilities. 

ANSWER:  The  role  of  the  Federal  judiciary  is  to  follow  the  law  rather  than  make  the  law.  The 
courts  should  rely  on  existing  case  law  and  be  careful  not  to  use  a  decision  to  make  social  policy. 
Policy  decisions,  under  our  form  of  government,  are  made  by  those  branches  of  government 
subject  to  political  influence,  the  executive  and  legislative  branches.  The  Judicial  branch  should 
remain  free  of  political  influence  and  be  anchored  by  the  rule  of  law.  A  judge  should  be  mindful 
of  the  will  of  the  people  and  uphold  that  position  unless  it  is  clearly  unconstitutional.  Even  when 
a  district  judge  believes  a  newly  enacted  state  law  is  unconstitutional,  it  may  be  the  better  course 
to  stay  his  or  her  order  pending  review  by  the  appellate  court. 

It  is  the  duty  of  a  judge  to  insure  that  jurisdiction,  standing,  and  ripeness  are  present  before 
proceeding  on  any  case.  The  doctrines  of  exhaustion  of  administrative  remedies  and  primary 
jurisdiction  should  be  considered  and  applied  when  appropriate. 

In  cases  of  concurrent  jurisdiction,  if  the  states  claims  or  interests  abound,  consideration  should 
be  given  to  a  remand  to  the  state  court.  Federal  courts  have  limited  jurisdiction  and  should 
therefore  limit  their  involvement  to  federal  issues. 

Finally,  I  believe  that  the  doctrine  of  stare-decisis  is  significant.  It  is  a  sound  legal  policy  that 
provides  structure,  certainty  and  uniformity  to  our  legal  system. 


Page  3 


345 


Questions  and  Answers 


RESPONSES  OF  WILLIAM  B.  TRAXLER.  JR.  TO  WRITTEN 
QUESTIONS  SUBMITTED  BY  SENATOR  ASHCROFT 

Question  l.  Which  Supreme  Court  Justice,  past  or  present,  do 
you  most  adinire,  and  why? 

I  most  admire  Supreme  Court  Justice  Sandra  Day  O'Connor.  Her 
opinions  reflect  considerable  respect  for  the  principles  of  stare 
decisis  and  an  appropriate  recognition  of  the  separation  of  powers 
among  our  branches  of  government.  As  a  trial  judge,  I  have  found 
her  majority  opinions  valuable  because  she  seems  to  go  out  of  her 
way  whenever  possible  to  make  clear  the  holding  of  the  case.  As 
one  who  must  apply  Supreme  Court  decisions  to  individual  cases  and 
often  explain  the  law  to  a  jury  in  my  charge,  I  find  her  clarity 
very  helpful . 

Question  2.  What  Judge  or  Justice  has  most  influenced  your 
thinXing  concerning  the  conscitutional  separation  of  powers,  and 
why? 

The  division  of  powers  among  the  three  branches  of  government 
is  just  as  important  at  the  state  level  as  it  is  at  the  federal 
level.  Bruce  Littlejohn,  former  Chief  Justice  of  the  Supreme  Court 
of  South  Carolina,  most  influenced  my  thinking  concerning  the 
constitutional  separation  of  powers.  Prior  to  his  election  to  the 
South  Carolina  Supreme  Court,  Chief  Justice  Littlejohn  served  as 
Speaker  of  the  South  Carolina  House  of  Representatives.  Because  of 
his  service  in  two  of  the  three  branches  of  government,  he 
understood  the  importance  of  recognizing  a  clear  line  of 
demarcation  among  the  three  branches.  I  observed  firsthand  his 
practice  of  restraint  by  not  intruding  into  areas  of  responsibility 
outside  those  of  the  judicial  branch. 

Question  3 .  What  does  the  discretionary  power  of  the 
judiciary  mean  to  you? 

When  I  think  of  judicial  discretion,  I  think  of  those  limited 
situations  where  the  law  expressly  contemplates  the  judge  making  a 
decision  within  the  parameters  the  law  has  established.  For 
example,  the  law  provides  for  sentencing  guidelines  and  has  set 
sentence  ranges  for  judges  to  use.  Within  those  ranges  judges 
exercise  their  discretion  to  determine  the  appropriate  sentences. 
Other  examples  of  such  decisions  would  involve  rulings  on  the 
admissibility  of  evidence  at  trial,  which  are  controlled  by  the 
Federal  Rules  of  Evidence,  and  judgments  as  to  whether  sanctions 
are  warranted.  The  law  provides  the  structure  for  a  judge's 
decision  and  a  judge's  ruling  must  be  in  accordance  with  it. 


53-754  99  - 12 


346 


RESPONSES  OF  WILLIAM  B.    TRAXLER,    JR.    TO  WRITTEK 

QUESTIONS   SUBMITTED  BY  SENATOR  ASHCROPT 

(continued) 

Question  4.  Which  JMdge  has  served  as  a  Btodel  for  the  way  you 
would  want  to  conduct  yourself  as  a  Jtidge,  and  why? 

Dxiring  my  years  as  a  practicing  attorney  I  appeared  on 

numerous  occasions  before  a  state  court  judge,  John  T.  Gentry. 
Judge  Gentry  exemplified  those  qualities  I  believe  every  judge 
should  possess.  He  was  a  person  of  the  utmost  integrity  and  he 
possessed  the  courage  to  make  difficult  decisions.  He  was  firm  but 
fair.  Importantly,  in  addition  to  being  learned  in  the  law,  he  was 
at  all  times  courteous  to  those  in  his  courtroom.  During  my  years 
as  a  state  and  federal  trial  judge,  I  have  kept  his  reputation  and 
qualities  in  mind  and  I  have  done  my  best  to  emulate  them. 

Question  S.  Which  law  review  article  or  book  has  most 
influenced  your  view  of  the  law? 

My  father  was  a  lawyer  and  when  I  was  growing  up  he  gave  me  a 
copy  of  The  Trial  Judge  in  South  Carolina  by  Judge  Lanneau  DuRant 
Lide.  This  book  describes  how  courts  operate  in  this  state  and  I 
found  it  fascinating.  It  contributed  significantly  to  my  interest 
in  the  law  and  my  desire  to  work  in  the  judicial  system. 

Question  6.  What  role  do  you  think  legislative  history  --by 
which  I  mean  the  various  committee  reports,  hearing  transcripts  and 
floor  statements  --  should  play  in  the  interpretation  of  the  text 
of  a  statute? 

In  construing  an  Act  of  Congress  I  begin  by  reading  the  plain 
language  of  the  Act.  If  the  language  of  the  statute  is  ambiguous, 
I  will  then  consult  the  legislative  history  to  see  if  the  intent  of 
Congress  can  be  seen  clearly  there.  I  am  reluctant  to  review 
legislative  history  and  generally  do  not  do  so  unless  I  feel  it  is 
absolutely  necessary  because  I  am  mindful  of  the  fact  that 
statements  of  individual  members  of  Congress  may  represent  their 
own  personal  views,  but  not  necessarily  that  of  Congress  as  a 
whole . 


347 


Responses  of  Insre  Pryts  Johnson  to  Written  Questions 
Submitted  by  Senator  Ashcrof t 

Question  1.  Which  Supreme  court  Justice,  past  or  present,  do 
you  most  admire  and  why? 

Answer:  In  the  aftermath  of  his  recent  death  Z  have  had 
occasion  to  revisit  some  of  the  opinions  of  Justice  Lewis  P. 
Powell,  Jr.  and  study  his  legacy  to  the  judiciary-  He  was 
the  epitome  of  a  legal  scholar  and  jurist.  His  decisions 
are  clear,  concise,  and  instructive,  enaOsllng  a  trial  judge 
to  apply  his  rulings  to  everyday  legal  issues  in  a  practical 
manner.  1  admire  Justice  Powell's  ability  to  formulate 
succinctly  the  holdings  of  the  Court,  it  is  the  obligation 
of  the  trial  court  to  fellow  precedent.  Justice  Powell's 
opinions  facilitate  the  fulfillment  of  that  obligation  by 
spelling  out  standards  for  the  trial  court  to  follow. 

Question  2.  What  Judge  or  Justice  has  most  influenced  your 
thinking  concerning  the  constitutional  separation  of  powers, 
and  why? 

Answer:  Judge  Learned  Hand  was  one  the  preeminent  advocates 
of  judicial  restraint  and  of  respect  for  the  doctrine  of 
separation  of  powers.  He  said:  "Some  of  us  have  .chosen 
America  as  the  land  of  our  adoption;  the  rest  have  come  from 
those  who  did  the  same.  Por  this  reason  we  have  some  right 
to  consider  ourselves  a  picked  group,  a  group  of  those  who 
had  the  courage  to  break  from  the  past  and  brave  the  dangers 
and  the  loneliness  of  a  strange  land.  What  was  the  object 
that  nerved  us,  or  those  who  went  before  us,  to  this  choice? 
We  sought  liberty...".  Judge  Hand  demonstrated  through  his 
opinions  that  this  liberty  can  most  fiercely  be  protected 
through  respect  for  our  Constitutional  doctrine  of 
separation  of  powers. 

Question  3.  What  does  the  discretionary  power  of  the 
judiciary  mean  to  you? 

Answer:  The  duty  of  a  United  states  District  Court  Judge  is 
to  follow  the  law  set  out  in  the  text  of  the  Constitution, 
in  the  language  of  the  Acts  of  Congress,  and  in  the 
construction  thereof  by  the  United  States  Supreme  Court  and 
the  Circuit  Courts  of  Appeal.  Federal  district  court  judges 
do  not  have  discretion  with  respect  to  the  law  that  is  to  be 
applied  to  oases  coming  before  them.  There  are  however 
certain  areas  where  judges  by  statute  or  rule  have  been 
given  discretionary  powers.  Within  narrow  limits  judges 
have  limited  discretion  when  applying  Federal  Sentencing 
Guidelines.    Also,   when  ruling  on  certain  evidentiary 


348 


matters  such  as  matters  under  Rule  403  of  the  Federal  Rules 
of  Evidence.  Discretion  is  also  given  to  the  Judges  by  Rule 
II  of  the  Federal  Rules  of  Civil  Procedure  in  deciding  if 
and  when  sanctions  should  be  imposed,  and  their  nature. 

Question  4-  Which  Judge  has  served  as  a  model  for  the  way 
you  would  want  to  conduct  yourself  as  a  Judge,  and  why? 

Answer:  Judge  G.  H.  Wright,  Jr.  was  the  Presiding  Judge  for 
the  37th  Judicial  Circuit  in  the  State  of  Xlabama  when  1  was 
elected  to  the  State  circuit  bench  in  1978.  In  preparation 
for  going  on  the  bench  in  January  of  1979  I  spent  some  time 
observing  Judge  Wright  in  court  and  in  his  administrative 
role  as  presiding  judge.  He  had  all  the  qualities  a  judge 
should  have:  he  was  courteous  to  all  litigants,  attorneys, 
court  personnel,  jurors  and  bailiffs;  he  was  kind,  punctual, 
professional,  prepared,  patient,  a  good  listener;  and  he  had 
a  sense  of  humor.  I  will  never  forget  the  example  he  set  as 
a  judge  and  his  kindness  to  me  in  helping  me  to  start  my 
work  as  a  judge. 

Question  5.  Which  law  review  article  or  book  has  most 
Influenced  your  view  of  the  law? 

Answer:  One  of  the  first  books  I  read  in  preparation  for 
legal  studies  in  the  United  States  was  Francis  Wellman's 
work.  The  Kct  of  Cross-Examlnation.  Through  the  techniques 
described  in  this  book,  I  understood  that  the  purpose  of  the 
adversarial  process  in  American  jurisprudence  is  to 
ascertain  the  truth.  Since  reading  that  book  years  ago, 
I  have  reminded  myself  of  that  purpose  many  times.  It  is 
expressed  in  every  jury  trial  in  the  term  "verdict" ,  that 
is,  "to  speak  the  truth." 

Question  6.  What  role  do  you  think  legislative  history-  by 
which  I  mean  the  various  committee  reports,  hearing 
transcripts  and  floor  statements-  should  play  in  the 
interpretation  of  the  text  of  a  statute? 

Answer:  When  a  United  States  District  Judge  is  faced  with 
the  task  of  interpretation  of  a  statute,  it  is  the  duty  of 
the  judge  to  first  look  at  the  plain  language  of  the  statute 
and  any  applicable  Supreme  Court  and  Court  of  Appeals 
precedent.  It  is  the  duty  of  the  judge  to  follow  such 
precedent.  However,  if  the  statute  is  ambiguous,  and  in  the 
aJasence  of  controlling  precedent,  legislative  history  may  be 
looked  at  in  attempting  to  ascertain  the  intent  of  Congress 
and  the  purpose  of  the  statute  when  it  was  enacted.  A  judge 
should  be  careful  not  to  place  undue  emphasis  on  isolated 
statements  in  the  legislative  history.  Such  emphasis  might 
result  in  circumvention  of  the  will  of  the  legislature  as 
expressed  in  the  text  of  the  statute  itself. 


349 


RESPONSE  OF  ROBERT  BRUCE  KING 
TO  FOIXOW-UP  QUESTIONS 
FROM  SENATOR  ASHCROFT 


September  14,  1998 


350 


RjESPONSE  OF  ROBERT  BRUCE  KING 
TO  FOLLOW-UP  QUESTIONS 
FROM  SENATOR  ASHCROFT 


1 .  Which  Supreme  Court  Jnstice,  past  or  present,  do  you  most  adinirc,  aad  why? 

Justice  Lewis  F.  Powell,  Jr. 

In  my  view.  Justice  Lewis  Powell  was  the  consummate  Supreme  Court 
Justice.  Justice  Powell  consistently  provided  leadership  to  the  Court  by  his  example 
of  integrity,  thoughtfulness  and  balance.  His  entire  allegiance  was  to  the 
Constitution  and  to  our  system  of  government  Justice  Powell  was  unfailingly 
patient,  courteous  and  £ur,  and  hit  service  on  the  Court  has  enhanced  public  respect 
for  the  court  system  and  government  service. 

2.  What  Judge  or  Justice  has  most  influenced  your  thiokiBg  conccming  the 
constitutioaal  separation  of  powers,  and  why? 

Judge  John  A.  Field,  Jr.  (United  States  District  Judge  for  Southed  District 
ofWest  Virginia.  1959  -  1971;  United  States  Circuit  Judge  for  the  Fourth  Circuit, 
1971  -  1976). 

Judge  Field,  v«^  was  appointed  to  the  district  court  in  1959  by  President 
Eisenhower,  and  to  the  appeals  court  by  President  Nixon  in  1971,  was  my  mentor, 
teacher  and  personal  role  model.  I  served  as  Judge  Field's  Law  Clerk  in  1968  and 
1969,  and  be  instilled  in  me  a  continuing  and  abiding  respect  for  the  law,  for  the 
proper  role  of  the  courts,  and  for  our  constitutional  system.  As  an  Assistant  United 
States  Attorney,  I  represented  the  United  States  in  criminal  cases  before  Judge  Field 
in  1970  and  1971. 

Judge  John  Field  was  die  perfect  federal  judge.  He  assumed  senior  status  in 
1976  and  passed  away  in  199S.  Judge  Field  maintained  a  consistent  view  of  the 
traditional  limited  role  of  the  courts,  and  possessed  an  unfailing  allegiance  to  the 
constitutional  principle  of  separation  of  powers. 


351 


Rctponic  of  Robert  Bruce  Kinf 

to  Follow-up  Questions 

from  Senator  Aihcroft 
September  14,  1998 
Pogel 

3.  What  doci  the  diicretionary  power  of  the  judiciary  mean  to  you? 

Federal  judges  are  bound  to  follow  the  Constitution  and  the  statutes  of  the 
United  States.  Federal  judges  are  also  bound  by  stare  decisis  to  follow  applicable 
precedent,  patticulariy  decisions  of  the  Supreme  Court  and  the  appropriate  t^peals 
court.  The  judiciary  possesses  no  discretionaiy  power  to  either  reject  or  accept 
established  precedent  and  legal  audiority,  and  has  no  discretionary  power  to  create 
new  legal  principles. 

Federal  judges  possess  limited  discretionary  authority  with  respect  to  issues 
involving  rules  of  procedures  and  evidentiary  matters.  However,  I  view  this 
discretionary  authority  as  broader  in  the  district  courts  than  in  the  appellate  courts. 
District  judges  possess  discretionary  authority,  consistent  with  applicable  rules,  on 
matters  such  as  case  scheduling,  evidence,  procedure,  and  other  issties  directly 
impacting  the  day-to-day  administration  of  justice.  Such  discretionary  authority  is 
always  to  be  handled  prudently  and  fairly,  and  mandates  proper  judicial 
temperament. 

4.  Which  Judge  has  lerved  as  a  model  for  the  way  you  would  want  to  conduct 
yourself  as  a  Judge,  and  why? 

There  arc  three  judges,  all  West  Virginians,  who  serve  as  models  for  the 
manner  in  which  I  would  strive  to  conduct  myself  should  I  be  confirmed  as  a  federal 
judge. 

Judge  John  A.  Field,  Jr. 

Judge  Field,  who  is  also  discussed  in  the  response  to  Question  No.  2,  was 
appointed  to  the  district  coun  in  1 959  by  President  Eisenhower,  and  to  the  appeals 
court  by  President  Nixon  in  1971.  Judge  Field  was  my  primary  mentor,  teaoher  and 
role  model.  1  served  as  Judge  Field's  Law  Clerk  in  1968  and  1969.  and  he  instilled 
in  me  an  abiding  affection  for  the  law  and  our  constitutional  system.  Judge  Field  and 
I  also  became  close  friends,  and  he  supported  my  1970  appointment  as  an  Assistant 
United  States  Attornay. 

Judge  John  Field  was,  in  my  view,  the  perfect  federal  judge.  Judge  Field 
believed  in  a  limited  role  for  the  federal  courts,  and  maintained  an  unfailing 
allegiance  to  the  Constitution. 


352 


Re*pon5C  or  Robert  Bruce  King 
Id  Follow-Dp  QuMtionf 
froin  Senator  Asbcron 

SepUmbcr  14,  (998 

P«6«3 


Judge  Kenneth  K.  HaU 

Judge  K.  K.  Hall  was  appointed  by  President  Nixon  in  1971  as  United  States 
District  Judge  for  the  Southern  District  of  West  Virginia.  He  served  with  great 
distinction  in  that  capacity  until  1976.  .\s  an  Assistant  United  States  Attorney,  I  had 
the  opportunity  to  try  a  number  of  criminal  cases  before  Judge  Hall. 

Judge  Hall  became  a  judicial  mentor  and  role  model  for  me.  In  1 976,  Judge 
Hall  was  appointed  by  President  Ford  to  the  Court  of  Appeals  for  the  Fourth  Circuit, 
replacing  Judge  Field.  He  presently  serves  that  court  as  a  Senior  Circuit  Judge. 
Judge  Hall  has  served  for  many  years  as  an  exemplary  member  of  the  judiciary  of  our 
country,  and  his  integrity  and  temperament,  as  well  as  his  decisive  and  incisive 
approach  to  cases  arxl  issues,  make  him  a  model  for  all  judicial  officers. 

Judge  Sidney  L.  Christie 

Judge  Sidney  Christie,  another  native  of  southern  Appalachia,  was  a  1965 
appointee  of  President  Johnson.  Judge  Christie  served  as  United  States  District 
Judge  for  Northern  and  Southern  West  Virginia  until  his  death  in  1974.  As  an 
Assistant  United  States  Attorney,  I  represented  the  United  Sutes  in  nearly  all  the 
crimitui  cases  tried  before  Judge  Christie  in  the  early  1970"s. 

Judge  Christie  was  endowed  with  the  perfect  judicial  temperament  His 
example  of  judicial  efficiency,  his  strong  West  Virginia  work  ethic,  his  integrity,  and 
his  practical  approach  to  the  resolution  of  legal  problems,  made  an  everlasting 
impression  on  all  those  with  whom  he  associated.  Judge  Christie  was  always 
determined  to  sec  that  the  government  received  its  full  measure  of  effort  from  those 
involved  in  his  coun  proceedings.  The  devotion  of  Judge  Sidney  Christie  to  public 
service  and  the  administration  of  justice  was  unmatched,  and  is  a  continuing 
inspiration  in  West  Virginia. 

Which  law  review  article  or  book  has  most  influenced  yonr  view  of  the  law? 

TtHpian.  David  McCullough's  1 992  biography  of  President  Harry  S.  Truman, 
has  had  a  profound  influence  on  my  view  of  public  service  and  the  law. 
President  Truman,  by  his  dedication  to  public  service,  as  well  as  by  his  energy, 
decisiveness  and  perseverance,  is  an  exemplary  role  model  for  all  Americans, 
particularly  those  in  public  service. 


353 


Response  of  Rob«rt  Bmce  King 
to  Follow-np  Questions 
rron  Senator  AshcroR 

SepUmbcr  14. 199B 

Pafe4 


Wliat  role  do  yon  tfaiok  legislative  history  -  by  which  I  mean  the  various 
committee  reports,  hemribg  transcripts  and  floor  statements  —  should  play  in  the 
interpretation  of  the  test  of  a  statqtc? 

In  matters  relating  to  statutory  interpretation,  I  believe  the  courts  must  first 
look  to  the  plain  language  of  the  statute,  and  then,  applying  st^fc  {^'"jj,  look  to 
appticable  cx>uit  precedent  If  applicable  precedent  is  available,  it  must  be  follov/ed. 

If  a  sututoiy  provision  is  ambiguous  and  there  is  no  conHolling  precedent, 
legislative  history  may  be  examined.  Legislative  history,  to  my  understanding,  must 
always  be  examined  and  viewed  with  caution  and  great  care,  and  is  a  last  resort  for 
utilization  in  statutory  interpretation. 


^.y. 


ROBERT  BRUCE  KING 


354 


Nominee:  Thomas  J.  Whelan 

Responses  to  Follow-up  Questions  from  Senator  Ashcrofl 

1 .  Question:  Which  Supreme  Court  Justice,  past  or  present,  do  you  most  admire,  and 
why? 

Answer:  The  Supreme  Court  Justice  I  admire  most  is  John  Marshall.  There  was  no 
precedent  for  his  role  or  rulings  u  Chief  Justice.  He  establi^cd  basic  legal  principles 
that  arc  followed  todav,  including  the  concept  of  "judicial  review".  That  concept  is 
essential  to  maintain  tne  checks  and  balances  of  our  system  of  govenuncnt. 

2.  Question:  What  Judge  or  Justice  has  most  influenced  your  thinking  concerning  the 
constitutional  separation  of  powers,  and  why? 

Answer:  Judge  Learned  Hand  has  most  influenced  my  thinkjtu  on  separation 
of  powers    In  his  book  entitled  "The  Bill  of  Ri^ts",  (published  19S8).  he  notes  that 
the  power  of  the  courts  should  be  exercised  onJly  when  absolutely  necessary  to 
prevent  the  democracy  &om  overturning  a  elear  and  paramount  constitutional  principle. 

3 .  Question:  What  does  the  discretionary  power  of  the  judiciary  mean  to  you? 

Answer:  The  discretionary  power  of  the  judiciary  means  the  ability  and  duty  of  a 
Jud^e  to  make  decisions  within  statutory  limitations  so  as  to  ensure  that  the  parties  to  an 
action  ^et  a  fair  hearing  (i.e    in  a  trial  context  the  discretion  to  exclude  evidence  if  its 
probative  value  is  substantially  outweighed  by  the  probability  its  admission  would  create 
a  substantial  danger  of  undue  prejudice  or  confuse  the  issues.)  Judicial  discretion  does 
not  mean  that  a  judge  can  assume  the  legislative  fiinction  of  making  laws  or  interpreting 
existing  laws  that  arc  clear  and  unambiguous. 

4.  Question:  Which  Judge  has  served  as  a  model  for  the  way  you  would  want  to 
conduct  yourself  as  a  Judge,  and  why? 

Answer:  Judge  Donald  Smift  (deceased)  set  the  exainple  of  judicial  restraint  and 
temperament  that  I  have  followed  durm^  my  nine  years  as  a  Superior  Court  judge.  Judge 
Smith  was  a  very  effective  and  eflicient  junst  (he  spent  over  2(3  years  as  a  judge  in  both 
the  Municipal  and  Superior  Courts  of  Califorma.  He  was  the  Presiding  Judge  of  the  San 
Diego  Superior  Court  when  he  retired.)  Judge  Smith  hod  a  heavy  caseload  yet  would 
patiently  listen  to  the  parties  and  attorncjrs  vmo  appeared  before  him.  He  was  decisive 
and  limited  his  rulings  so  as  to  only  decide  the  issue  necessary  to  resolve  the  case.  In 
short,  he  treated  litigants  with  respect,  patience  and  courtesy    He  told  me  many  times  that 
the  key  to  being  a  eood  judge  is  to  decide  only  the  issue  presented  and  to  treat  the  parties 
as  1  would  want  to  oe  treated.  I  continue  to  follow  that  advice. 

5.  Question:  What  law  review  article  or  book  has  most  influenced  your  view  of  the 
law? 

Answer:  The  books  that  have  most  influenced  my  view  of  the  law  are  the  series 
written  by  Bernard  E.  Witkin.  I  refer  to  his  ten  volume  set  on  Procedure,  thirteen  volume 
summary  of  the  law,  as  well  as  his  series  on  Evidence  and  Criminal  Law,  on  a  regular 
basis. 

6.  Question:  What  role  do  you  think  legislative  history  -  by  which  I  mean  the 
various  commincc  reports,  hearing  transcripts  and  floor  statements  -  should  play  in  the 
interpretation  of  the  text  of  a  statute? 

Answer:   I  would  look  to  legislative  history  as  a  last  resort  in  my  intenreting  the 
test  of  a  statute.  I  would  be  very  careful  using  legislative  history  because  while  it 
represents  the  opinions  expressed  by  a  few.  it  does  not  necessanly  represent  the  collective 
opinion  or  intent  of  the  majority  of  the  legislators. 


355 


JUDICIAL  NOMINEE  RESPONSES  TO  WRITTEN 

QUESTIONS  PROPOUNDED  BY  UNITED  STATES 

SENATOR  JOHN  ASHCROFT 


NOMINEE  -  HORACE  DEAN  BUTTRAM,  JR. 

UNITED  STATES  DISTRICT  COURT  FOR  THE 

NORTHERN  DISTRICT  OF  ALABAMA 


1.        Which  Supreme  Court  Justice  past  or  present,  do  you  most  admire  and 
why? 

I  most  admire  Justice  Hugo  Black  who  was  a  native  of  Alabama. 
Many  changes  in  America  occurred  during  Justice  Black's  tenure  on 
the  Court.  The  Constitution  was  important  to  Justice  Black  and  he 
referred  to  it  on  the  smallest  of  constitutional  questions.  He  was  a 
man  of  integrity  who  tempered  the  enormous  power  of  the  Court  with 
good  common  sense.  He  believed  the  original  words  and  meaning 
of  the  Constitution  could  still  be  applied  to  the  issues  of  his  day. 


2.        What  Judge  or  Justice  has  most  influenced  your  thinking  concerning  the 
constitutional  separation  of  powers,  and  why? 

I  have  been  most  Influenced  and  impressed  with  the  thinking  of  and 
positions  taken  by  Justice  Sandra  Day  O'Conner  on  the  issue  of 
constitutional  separation  of  powers.  Justice  O'Conner  does  an 
exceptional  job  of  exercising  judicial  review  with  restraint,  being 
mindful  not  to  allow  federal  courts  to  become  legislative  or  policy 
making  bodies. 


356 


What  does  the  discretionary  power  of  the  judiciary  mean  to  you? 

The  discretionary  power  of  a  United  States  District  Judge  is  limited. 
It  should  be  exercised  within  guidelines  established  by  Congress.  A 
judge  does  have  discretion  in  areas  such  as  courtroom  management 
docket  control,  evidentiary  matters,  procedural  rules  and  sentencing 
within  the  scope  of  the  mandatory  sentencing  guidelines. 

Which  Judge  has  served  as  a  model  for  the  way  you  would  warrt  to  conduct 
yourself  as  a  Judge,  and  why? 

United  States  District  Judge  Sam  Pointer  is  an  excellent  role  model 
for  any  federal  judge,  l-le  is  the  presiding  judge  for  the  Northern 
District  of  Alabama.  Judge  Pointer  is  a  scholar,  l-le  manages  cases 
from  the  bottom  up  rather  than  from  the  top  down.  Thus,  he 
familiarizes  himself  with  the  most  intricate  details  and  facts  of  each 
case  from  its  commencement  and  is  able  to  avoid  delays  In  the 
litigation  process,  l-le  rules  expeditiously  on  motions  and  preliminary 
matters.  Judge  Pointer  is  fair  and  evenhanded  with  all  wtio 
encounter  his  court,  whether  attomeys.  parties,  jurors,  staff  or  the 
public. 


5.        Which  law  review  article  or  book  has  most  influenced  your  view  of  the  law? 

There  Is  no  single  law  review  article  or  book  that  has  most  influenced 
my  view  of  the  law.  The  six  volume  biography  of  Abraham  Lincoln 
by  Carl  Sandburg  has  influenced  me.  I  am  Influenced  by  the 
hardships  overcome  by  Lincoln  while  a  rural  lawyer  and  the  common 
sense  approach  and  rule  of  fairness  with  which  he  practiced. 
However,  the  writing  that  has  influenced  me  most  is  the  United  States 
Constitution  which  I  refer  to  frequently. 


What  role  do  you  think  legislative  history  -  by  which  I  mean  the  various 
committee  reports,  hearing  transcripts  and  floor  statements  ~  should  play 
In  the  interpretation  of  the  text  of  a  statute? 


357 


I  believe  legislative  history  should  have  very  little  role  in  interpreting 
the  text  of  a  statuite.  Legislative  history  should  be  used  cautiously  in 
determining  the  will  of  an  entire  legislative  body.  Rather,  the  text  of 
the  law  itself  should  be  the  primary  guide  for  such  Interpretation.  In 
addition,  a  Judge  should  refer  to  the  Constitution  and  controlling  legal 
precedent  in  his  circuit  when  interpreting  the  text  of  a  statute. 


Respectfully  Submitted. 


•'HORACE  DEAN  BUTTRAM,  JR. 
Nominee  to  the  United  States 
District  Court  for  the 
Northern  District  of  Alabama 


September  14,  1998 


NOMINATIONS  OF  DAVID  O.  CARTER,  ROBERT 
S.  LASNIK,  ANABELLE  RODRIGUEZ,  MAR- 
GARET B.  SEYMOUR,  ALETA  A.  TRAUGER 
(U.S.  DISTRICT  JUDGES) 


THURSDAY,  OCTOBER  1,  1998 

U.S.  Senate, 
Committee  on  the  Judiciary, 

Washington,  DC. 
The  committee  met,  pursuant  to  notice,  at  2:38  p.m.,  in  room 
SD-22,  Dirksen  Senate  Office  Building,  Hon.  Fred  Thompson  pre- 
siding. 
Also  present:  Senators  Thurmond,  and  Feinstein. 

OPENING  STATEMENT  OF  HON.  FRED  THOMPSON,  A  U.S. 
SENATOR  FROM  THE  STATE  OF  TENNESSEE 

Senator  Thompson.  Let's  come  to  order,  please.  The  committee 
will  come  to  order,  please.  I  am  pleased  to  call  to  order  this  hearing 
of  the  Committee  on  the  Judiciary  to  consider  nominations  to  the 
U.S.  District  Courts. 

We  have  five  nominees  before  us  here  today.  Each  of  these  nomi- 
nees has  been  through  a  careful  process  in  the  executive  branch, 
including  an  FBI  check,  and  a  second  careful  screening  by  this 
committee.  And  I  want  to  congratulate  all  the  nominees  for  getting 
to  this  point. 

We  are  joined  by  a  number  of  distinguished  Senators  and  Mem- 
bers of  Congress  here  to  introduce  them.  Because  we  have  a  full 
agenda  today  I  request  that  all  introductory  statements  be  limited 
to  no  more  than  5  minutes,  and  perhaps  it  would  be  best  to  let  the 
nominees  themselves  introduce  members  of  the  family  and  friends 
and  so  forth,  if  that  pleases  the  members. 

I  understand  that  Senators  HoUings  and  Grorton  have  a  markup 
very  shortly  so  we  will,  with  the  permission  of  our  other  members 
here  on  the  panel,  proceed  with  them.  Senator  Gorton. 

STATEMENT  OF  HON.  SLADE  GORTON,  A  U.S.  SENATOR  FROM 
THE  STATE  OF  WASHINGTON 

Senator  GrORTON.  Mr.  Chairman,  I  thank  you  for  that  courtesy. 

Judge  Lasnik  has  been  a  judge  on  the  Superior  Court  in  King 
County,  that  is  to  say  Seattle,  during  the  course  of  the  last  12 
years.  In  that  career,  with  many  other  judges  on  that  court,  he  has 
constantly  been  rated  by  the  Bar  Association  always  at  or  near  the 
top  of  the  judges  of  that  court. 

(359) 


360 

His  previous  career  was  12  years  as  a  deputy  prosecuting  attor- 
ney of  King  County  under  the  elected  leadership  of  Norm  Maleng, 
one  of  my  closest  and  longtime  friends.  He  was  an  outstanding 
prosecuting  attorney,  one  of  two  attorneys  who  prosecuted  the  larg- 
est robbery-related  mass  murder  in  U.S.  history,  13  people  killed 
in  a  Chinese  gambling  hall  in  the  city  of  Seattle.  And  he  spent  all 
of  that  time  enforcing  the  criminal  laws  of  the  State  of  Washington. 

Perhaps  even  more  significant  for  this  committee  as  an  obviously 
bipartisan  committee  is  the  fact  that  Judge  Lasnik  is  here  today 
as  the  result  of  a  selection  process  that  involves  myself  and  Sen- 
ator Murray.  We  jointly  appoint  a  search  committee.  That  search 
committee  recommended  Judge  Lasnik  to  us.  This  has  been  a  high- 
ly successful  partnership  between  the  two  Senators.  We  get  a  list 
of  a  small  number  of  names  and  so  far  have  been  able  to  unite  on 
names  to  recommend  to  the  President  of  the  United  States. 

So  we  have  a  truly  bipartisan  approach  to  the  naming  of  district 
court  judges  in  the  State  of  Washington.  We  united  on  Judge 
Lasnik's  name  for  this  position.  Our  nominating  committee  did  an 
outstanding  job  in  picking  him  for  us  in  the  first  place  and  it  would 
be  impossible  for  me  to  recommend  any  nominee  to  this  post  to  you 
more  highly  than  I  do  Bob  Lasnik. 

Senator  Thompson.  Thank  you  very  much,  Senator  Grorton.  I 
know  that  the  nominee  appreciates  those  fine  comments. 

Senator  Hollings. 

STATEMENT  OF  HON.  ERNEST  F.  HOLLINGS,  A  U.S.  SENATOR 
FROM  THE  STATE  OF  SOUTH  CAROLINA 

Senator  Rollings.  Thank  you,  Mr.  Chairman. 

Judge  Seymour  will,  as  you  have  instructed,  present  her  hus- 
band, two  sons,  mother  and  family,  and  I  appreciate  the  courtesy 
of  the  committee. 

Mr.  Chairman  and  distinguished  members,  for  the  past  2  years 
Judge  Margaret  Seymour,  a  Federal  magistrate  judge,  has  presided 
over  there  as  the  appointee  of  the  several  judges.  We  have  nine  dis- 
trict judges.  They  are  selected,  of  course,  by  my  distinguished  sen- 
ior Senator,  Senator  Thurmond,  and  myself.  In  other  words,  she 
was  chosen  by  a  majority  of  Senator  Thurmond's  appointees  for 
this  particular  post. 

She  was  born  in  Washington,  DC  on  January  16,  1947,  received 
a  bachelor  of  arts  degree  in  English  literature  from  Howard  Uni- 
versity and  a  juris  doctorate  degree  at  American  University.  She  is 
married  to  the  chief  deputy  attorney  general  for  the  State  of  South 
Carolina,  Mr.  Joseph  Shine.  Mr.  Shine  is  the  second  minority  grad- 
uate ever  to  graduate  from  The  Citadel  in  the  history  of  The  Cita- 
del and  he  has  a  distinguished  career  of  his  own. 

They  have  two  sons,  one  who  is  pursuing  a  doctorate,  a  Ph.D. 
here  at  the  University  of  Maryland  and  the  other  one  just  entering 
the  first  grade  this  fall. 

Judge  Seymour  has  been  practicing  for  quite  some  time.  From 
1972  to  1979,  she  was  with  the  Department  of  Health,  Education 
and  Welfare,  an  equal  opportunity  specialist  up  here  in  Washing- 
ton. In  1979  to  1980  she  was  with  the  U.S.  Equal  Opportunity 
Commission.  From  1980  to  1988,  at  the  U.S.  Department  of  Edu- 
cation as  a  general  attorney  and  a  senior  trial  attorney.  From  1988 


361 

to  1990  she  was  in  private  practice  with  the  firm  of  Austin,  Lewis 
&  Rogers  in  Columbia,  SC. 

And  from  1990  until  her  appointment  a  couple  of  years  ago  as 
a  Federal  magistrate  judge,  she  was  in  the  U.S.  Attorney's  Office. 
And  this  is  where  I  got  to  really  know  of  her  and  be  impressed  in 
the  sense  that  Judge  John  Sirica  was  writing  his  famous  book  and 
I  was  riding  him  around,  showing  him  the  sites  back  home.  And 
he  said,  "Senator,  don't  ever  appoint  a  Federal  judge  unless  they've 
been  in  the  pits."  I  said,  "What  do  you  mean,  in  the  pits?"  He  said, 
"In  trial  work." 

He  said,  "You  know,  I  flunked  the  bar  three  times."  He  said,  "So 
when  I  fmally  passed  it,  none  of  those  Washington  firms  wanted 
me  and  I  went  down  to  magistrate's  court,  trjdng  all  the  cases  I 
could  find.  I  got  good  at  it."  He  said,  "Hogan  and  Hartson  fmally 
picked  me  up  and  when  they  started  with  those  early  witnesses  in 
Watergate,  I  asked  them  to  approach  the  bench  in  chambers.  And 
when  I  got  them  in  there,"  he  said,  "/all  all  are  lying."  And  he 
said,  "If  you  continue  lying,  I'm  going  to  find  you  in  contempt.  And 
when  I  find  you  in  contempt,  it's  not  going  to  be  just  a  little  fine; 
I'm  going  to  put  you  folks  in  jail.  I'm  not  going  to  open  up  this 
court  to  this  kind  of  scandal.  So  get  back  out  there  and  start  telling 
the  truth  and  let's  go  on  with  the  trial  of  this  case."  That  broke 
it. 

And  that  impressed  me.  And  looking  for  the  person  who  was  bet- 
ter qualified,  particularly  as  Senator  Thurmond  has  appointed 
Karen  Williams  from  South  Carolina  on  the  circuit  court  of  ap- 
peals, when  Judge  Traxler  got  promoted  by  this  committee  and  the 
Senate  recently,  I  asked  Judge  Traxler  and  I  asked  several  of  the 
judges  and  outstanding  attorneys  about  having  been  in  the  pits 
and  they  pointed  out  unanimously  Margaret  Seymour. 

She  has  the  qualifications  by  far.  I  only  refer  to  what  one  of  the 
senior  judges,  plus  many,  many  others,  of  course,  that  are  in  the 
file  but  Judge  Ross  Anderson,  said:  "She  has  exercised  fair  and  im- 
peccable judgment  in  all  the  cases  that  have  come  before  her.  She 
is  unquestionably  unbiased  and  courteous.  Her  courtroom  de- 
meanor is  admirable.  In  my  opinion,  she  has  the  necessary  edu- 
cational qualifications,  judicial  temperament,  integrity  and  impar- 
tiality to  become  an  outstanding  U.S.  district  judge.  I  cannot  think 
of  anyone  more  eminently  qualified." 

That  from  a  majority  of  our  own  district  judges,  I  thought,  im- 
pressed me.  So  I  am  very  proud  to  present  her  to  the  committee 
and  would  only  ask,  if  at  all  possible,  since  we  do  have  that  va- 
cancy and  the  backlog  in  Senator  Thurmond's  and  my  home  State, 
that  if  we  could  move  expeditiously,  we  would  be  very  grateful.  I 
thank  the  committee  very  much. 

Senator  Thompson.  Thank  you  very  much. 

By  seniority  now  we  will  go  to  Senator  Thurmond.  I  see  Rep- 
resentatives Cox,  Velazquez,  and  Sanchez  are  here,  I  believe,  too. 
Feel  free  to  join  us  at  the  table  up  here  if  you  would  like.  We  will 
be  calling  on  you  in  a  moment. 

Senator  Thurmond. 


362 

STATEMENT  OF  HON.  STROM  THURMOND,  A  U.S.  SENATOR 
FROM  THE  STATE  OF  SOUTH  CAROLINA 

Senator  Thurmond.  Mr.  Chairman,  it  gives  me  great  pleasure  to 
introduce  to  the  committee  Judge  Margaret  Seymour,  President 
Clinton's  nominee  to  be  a  U.S.  District  Judge  for  the  District  of 
South  Carolina. 

Judge  Seymour — and,  by  the  way,  where  is  she  sitting?  Judge 
Seymour,  raise  your  hand.  Let's  see  where  you  are.  And  who  do 
you  have  here?  Is  your  husband  here? 

Ms.  Seymour.  Yes,  sir.  My  husband  is  here. 

Senator  Thurmond.  Would  you  get  them  to  stand  up  or  raise 
their  hands  so  we  can  recognize  them? 

Ms.  Seymour.  And  my  mother,  Ms.  Vanilla  Beane,  is  here.  And 
my  two  sons  Eric  and  Craig  and  my  Aunt  Inez  is  here,  Inez  Dade. 

Senator  Thurmond.  Are  your  two  boys  here? 

Ms.  Seymour.  Yes,  they  are. 

Senator  Thurmond.  Well,  let  them  stand  up. 

Ms.  Seymour.  And  Craig  is  in  the  back. 

Senator  Thurmond.  Thank  you  very  much. 

Judge  Seymour  will  replace  Judge  William  Traxler,  an  excellent 
jurist  we  have  just  elevated  to  the  Fourth  Circuit  Court  of  Appeals. 

Judge  Seymour  received  her  bachelors  degree  from  Howard  Uni- 
versity in  1969  and  her  J.D.  from  American  University  in  1977. 
Since  then  she  has  had  a  varied  and  distinguished  legal  career. 
She  served  as  an  attorney  adviser  at  the  Equal  Employment  Op- 
portunity Commission  and  as  a  senior  trial  attorney  with  the  U.S. 
Department  of  Education.  She  then  went  into  private  practice  be- 
fore returning  to  Government  service  in  1990  as  an  Assistant  U.S. 
Attorney  for  South  Carolina. 

During  4  of  her  6  years  in  the  U.S.  Attorneys  Office  she  was 
chief  of  the  Civil  Division.  Also,  she  twice  served  as  interim  U.S. 
attorney,  once  in  1993  and  again  in  1996. 

She  was  appointed  a  U.S.  magistrate  judge  for  the  District  of 
South  Carolina  in  1996,  where  she  serves  today.  In  that  capacity 
she  is  known  as  a  diligent  and  fair  jurist.  She  is  also  a  person  of 
character  and  integrity. 

She  is  married  to  attorney  Joseph  Dawson  Shine  and  has  two 
sons.  She  is  also  an  avid  runner  who  has  participated  in  numerous 
marathons.  I  have  been  a  runner  myself,  so  I  have  something  in 
common  with  her. 

I  am  very  pleased  to  support  this  nomination.  I  am  confident 
that  she  will  do  a  fine  job  on  the  district  court,  just  as  she  has  done 
on  the  magistrate's  court.  Thank  you,  Mr.  Chairman. 

Senator  THOMPSON.  Thank  you  very  much.  Senator  Thurmond. 

At  this  point  I  would  like  to  place  in  the  record  the  statement 
of  Congressman  James  E.  Clybum. 

[The  prepared  statement  of  Congressman  James  E.  Clybum  fol- 
lows:] 

Prepared  Statement  of  Congressman  James  E.  Clyburn,  a  Representative  m 
Congress  From  the  State  of  South  Carolina 

Mr.  Chairman,  it  is  my  privilege  to  express  my  support  for  the  nomination  of  Mar- 
garet Seymour  to  become  a  United  States  Judge  for  the  District  of  South  Carolina. 

Currently  a  United  States  Magistrate  Judge,  Ms.  Se3Tnour  is  well  qualified  for  our 
federal  judiciary.  She  has  extensive  legal  experience,  having  worked  as  a  govern- 


363 

ment  attorney  for  nearly  25  years.  Prior  to  being  named  a  federal  magistrate  judge, 
Ms.  Seymour  was  chief  of  the  U.S.  Attorney's  civil  division. 

It  is  important  to  note,  that  on  two  separate  occasions,  Ms.  Seymour  was  ap- 
pointed the  acting  U.S.  Attorney  for  South  CaroUna,  the  only  woman  and  only  Afri- 
can American  to  ever  hold  that  post.  She  earned  high  marks  from  the  judiciary  and 
the  entire  South  Carolina  legal  community  for  her  fairness  and  efficient  manage- 
ment of  the  top  federal  prosecutorial  office  in  our  state. 

In  addition  to  her  impressive  legal  credentials,  Ms.  Seymour  has  the  temperament 
and  demeanor  to  be  an  outstanding  member  of  the  bench.  I  am  confident  she  will 
uphold  the  Constitution  and  bring  honor  and  integrity  to  the  federal  judiciary. 

Margaret  Seymour  will  be  a  fine  judge  in  every  way  and  I  urge  the  Committee's 
swift  action  on  her  nomination.  Thank  you  for  your  consideration. 

Senator  Feinstein. 

Senator  Feinstein.  Thank  you  very  much,  Mr.  Chairman. 

Mr.  Chairman,  it  is  with  great  pleasure  that  I  introduce  to  this 
committee  Judge  David  Carter.  I  recommended  Judge  Carter  to 
President  CUnton  for  appointment  to  the  Federal  district  court  and 
I  strongly  support  his  nomination  today. 

I  would  ask  that  statements  of  support  be  entered  into  the  record 
from  Congressman  Ron  Packard  of  California,  and  Congressman 
Ed  Royce.  I  note  with  pleasure  that  Congressman  Chris  Cox  is  here 
in  support  of  this  nominee,  Congresswoman  Loretta  Sanchez,  as 
well.  I  very  much  appreciate  your  coming. 

Senator  Thompson.  The  statements  will  be  made  part  of  the 
record. 

[The  prepared  statements  of  Mr.  Packard  and  Mr.  Royce  follow:] 

Prepared  Statement  of  Hon.  Ron  Packard,  a  Representative  in  Congress 
From  the  State  of  California 

Mr.  Chairman  and  members  of  the  Judiciary  Committee,  I  wovdd  like  to  express 
my  strongest  support  for  the  appointment  of  Dave  Carter  to  the  Federal  District 
Court.  His  conservative  values  in  the  courtroom  and  fairness  and  compassion  have 
earned  him  respect  throughout  the  County  and  State. 

I  have  known  Dave  for  many  years  as  one  of  Orange  County's  most  dedicated  pub- 
lic servants.  He  is  well  respected  within  the  community  for  his  tough  stance  on 
crime,  unwavering  advocacy  of  victims'  rights  and  commitment  to  gang  intervention 
and  reduction.  His  innovative  programs  in  the  courtroom  dealing  with  the  difficult 
problems  of  criminal  aliens  and  the  destructive  force  of  youth  gangs  are  renowned. 

Dave's  credentials  speak  volumes.  His  experience  as  a  decorated  veteran,  former 
homicide  prosecutor  and  both  municipal  and  superior  court  judge  make  him  unique- 
ly qualified  for  this  appointment.  I  urge  qviick  confirmation  of  Dave  Carter  to  this 
prestigious  post. 


Prepared  Statement  of  Hon.  Edward  R.  Royce,  a  Representative  in  Congress 
From  the  State  of  California 

I  would  like  to  thank  you  for  moving  expeditiously  on  a  confirmation  hearing  for 
Superior  Court  Judge  David  O.  Carter's  nomination  to  the  Federal  District  Court. 
I  understand  that  Judge  Carter's  confirmation  hearing  has  been  scheduled  for 
Thursday,  October  1st.  Your  attention  to  his  appointment  is  greatly  appreciated. 

I  have  no  doubt  that  Judge  Carter  will  be  a  valuable  addition  to  the  Federal  Dis- 
trict Court.  Judge  Carter  has  proven  to  be  an  exceptional  administrator  and  an  ef- 
fective manager  of  the  court  system,  going  consistently  above  and  beyond  his  stand- 
ard judicial  duties.  His  tough  yet  compassionate  approach  to  the  law  has  earned 
him  the  respect  and  admiration  of  members  of  the  legal  community  and  citizens  of 
Orange  County.  During  his  10  years  as  head  of  the  Criminal  Panel  of  the  Orange 
County  Superior  Court,  Judge  Carter  developed  and  provided  financial  support  for 
successful  rehabilitation  programs.  His  actions  have  inspired  many  to  begin  new 
and  productive  Lives. 

Judge  Carter  has  my  complete  support  for  appointment  to  the  Federal  bench. 


364 

STATEMENT  OF  HON.  DIANNE  FEINSTEIN,  A  U.S.  SENATOR 
FROM  THE  STATE  OF  CALIFORNIA 

Senator  Feinstein.  I  thank  the  chair. 

Judge  Carter  currently  serves  on  the  Orange  County  Superior 
Court  criminal  bench.  He  has  served  for  more  than  16  years  and 
has  been  selected  by  his  fellow  judges  to  serve  as  supervisory  crimi- 
nal judge.  In  that  capacity,  he  currently  presides  over  the  assign- 
ment of  13,000  felony  cases  a  year. 

I  would  like  to  provide  a  few  details  about  his  background  be- 
cause I  think  they  really  show  the  interesting  nature  of  this  can- 
didate. He  graduated  cum  laude  from  UCLA.  Prior  to  going  to  law 
school  he  was  a  Rhodes  Scholar  applicant  when  he  volunteered  for 
the  U.S.  Marine  Corps  during  the  Vietnam  War,  where  he  served 
from  1967  to  1969.  He  achieved  the  rank  of  first  lieutenant  and 
served  as  the  platoon  commander  who  led  150  Marines  on  the  mis- 
sion up  an  enemy-occupied  hill  during  the  Tet  offensive  at  Khe 
Sahn. 

He  was  hit  three  times — in  the  face,  in  the  arms  and  in  the  hip — 
during  the  storm  of  mortars  and  bullets  that  rained  down  on  the 
platoon.  He  spent  1  year  recuperating  in  the  Oakland  Naval  Hos- 
pital. He  was  awarded  the  Bronze  Star  and  Purple  Heart  for  his 
bravery  under  fire. 

Immediately  following  law  school.  Judge  Carter  began  working 
as  a  deputy  district  attorney  in  Orange  County  from  1972  to  1981. 
He  tried  more  than  25  murder  cases  and  was  a  veteran  of  the  coun- 
ty's special  homicide  prosecuting  panel.  Among  his  many  note- 
worthy cases,  he  was  the  prosecutor  in  the  infamous  trial  of  free- 
way killer  William  Bonine,  who  was  executed  at  San  Quentin  in 
1997  for  murdering  21  young  victims. 

He  was  appointed  to  the  municipal  court  in  1981,  elevated  to  Su- 
perior Court  in  1982,  where  he  has  served  with  great,  great  distinc- 
tion. 

I  personally  have  had  an  opportunity  going  back,  I  guess,  8  years 
to  watch  him  discuss  drugs  in  a  high  school  gymnasium  with  about 
3,000  students,  and  he  does  it  in  a  candid,  real  way  that  has  a  very 
impressive  effect. 

He  has  received  numerous  community  service  awards,  including 
Judge  of  the  Year  by  the  Orange  County  Narcotics  Officers  Associa- 
tion for  the  years  1988  and  1990,  the  Orange  County  Register's 
Newspaper  Angels  Award  for  work  with  youth,  and  the  Orange 
County  Bar  Association's  Liberty  Bell  Award  for  exceptional  con- 
tribution to  education  and  providing  access  to  justice  for  juveniles. 

His  nomination  to  this  court  enjoys  broad  bipartisan  support.  In 
fact,  he  has  received  more  letters  of  support  than  any  other  can- 
didate I  have  ever  interviewed  for  judicial  appointment. 

He  enjoys  broad  support  from  law  enforcement  in  his  community. 
Orange  County  Sheriff  Brad  Gates  writes  that  "He  has  consistently 
rendered  fair  judgments  that  are  based  on  facts,  not  opinions.  He 
stands  in  high  regard  with  law  enforcement  personnel  throughout 
Orange  County."  Sheriff  Gates  concludes,  "My  endorsement  of  his 
nomination  cannot  be  more  enthusiastic." 

It  is  the  same  thing  for  Neil  Purcell,  former  president  of  Orange 
County  Chiefs  of  Police  and  Sheriffs,  for  the  Westminster  Chief  of 
Police  James  Cook,  Newport  Chief  of  Police,  Orange  County  Chiefs 


365 

and  Sheriffs  Association  president  Bob  McDonald,  and  the  Narcot- 
ics Officers  presiding  officer,  as  well.  The  endorsements  go  on  and 
on  and  on. 

He  is  accompanied  by  his  wife  Mary  Ellen,  his  mother  Nancy,  his 
daughter  Lindsey  and  his  son  Chris.  And  I  cannot  be  prouder  of 
a  nominee  that  I  have  nominated  to  the  President  than  I  am  of  this 
one.  And  I  thank  you,  Mr.  Chairman. 

Senator  THOMPSON.  Thank  you  very  much. 

Senator  Frist  has  to  be  back  on  the  floor  and  I  am  going  to  give 
him  my  turn  next.  And  the  other  nominees,  if  you  will  just  wait 
and  we  will  bring  you  all  up  together. 

Senator  Frist. 

STATEMENT  OF  HON.  BILL  FRIST,  A  U.S.  SENATOR  FROM  THE 
STATE  OF  TENNESSEE 

Senator  Frist.  Thank  you,  Mr.  Chairman.  It  is  my  honor  to  in- 
troduce and  to  speak  on  behalf  of  someone  that  I  am  very,  very 
proud  to  introduce  today  and  that  is  Judge  Aleta  Trauger  of  Nash- 
ville, a  U.S.  Bankruptcy  Judge,  to  fill  a  vacancy  in  the  U.S.  District 
Court  for  the  Middle  District  of  Tennessee. 

Judge  Trauger  is  a  graduate  of  Cornell  University  and  earned 
two  degrees,  including  her  law  degree,  from  Vanderbilt  University, 
where  I  had  the  opportunity  to  work  before  coming  to  the  U.S.  Sen- 
ate. 

She  has  a  diversity  of  experience,  from  teaching  in  England  and 
in  the  public  schools  of  Tennessee  before  going  to  law  school,  to  pri- 
vate practice,  to  serving  as  legal  counsel  to  the  College  of  Charles- 
ton, to  serving  as  chief  of  staff  to  Nashville's  mayor. 

Most  significantly,  she  has  ample  experience  as  a  Federal  pros- 
ecutor and  in  that  capacity  she  always  rose  to  the  challenge  to  en- 
force the  rule  of  law.  As  the  chairman  knows,  she  even  prosecuted 
a  former  Democratic  Governor  of  Tennessee  for  selling  liquor  li- 
censes. 

I  believe  her  prosecutorial  experience  will  also  make  her  sen- 
sitive to  the  need  to  enforce  constitutional  laws  passed  by  the  legis- 
lative branch.  I  do  not  believe  she  will  attempt  to  substitute  her 
own  will  for  the  rule  of  law,  which  will  be  a  breath  of  fresh  air  for 
the  people  of  Middle  Tennessee. 

As  a  U.S.  Bankruptcy  Judge,  Judge  Trauger  has  earned  high 
marks  from  the  bar  for  her  intellect  and  her  fairness.  As  you  can 
witness  from  her  biography,  she  is  also  committed  to  her  commu- 
nity, serving  on  numerous  boards  and  committees  to  help  the  peo- 
ple of  Nashville. 

And  she  is  committed  to  her  profession.  Witness  her  leadership 
role  in  the  Harry  Phillips  Americans  of  Court,  which  helps  mentor 
young  trial  lawyers. 

She  is  accompanied  today  by  her  husband  and  daughter,  who  she 
will  introduce  later. 

Mr.  Chairman,  the  administration  has  sent  us  a  fine  Nashvillian 
to  confirm  as  district  judge  and  I  hope  the  committee  acts  swiftly 
on  her  nomination. 

Senator  THOMPSON.  Thank  you  very  much.  Senator  Frist. 

Senator  Murray. 


366 

STATEMENT  OF  HON.  PATTY  MURRAY,  A  U.S.  SENATOR  FROM 
THE  STATE  OF  WASHINGTON 

Senator  Murray.  Thsink  you,  Mr.  Chairman.  I  really  appreciate 
this  committee  scheduling  our  outstanding  nominee  from  Washing- 
ton, the  Hon.  Robert  Lasnik,  on  your  coveted  final  hearing  for  this 
Congress. 

I  am  delighted  to  be  here  today  to  introduce  and  wholeheartedly 
endorse  the  confirmation  of  Judge  Lasnik  for  a  seat  on  the  State 
of  Washington's  Western  District  Court. 

Judge  Lasnik  has  several  members  of  his  family  with  him  today 
and  I  want  to  recognize  Ruth  Lasnik,  who  he  allowed  me  to  intro- 
duce as  his  82-year-old  mother,  who  is  a  long-time  public  school 
teacher;  his  wife  Seda,  who  is  also  a  school  teacher,  and  his  three 
children,  Amanda,  Alexander,  and  Andy.  He  also  is  accompanied 
today  by  his  bailiff,  Teri  Roberts,  and  her  husband.  Rick,  who  are 
here  from  Seattle. 

Mr.  Chairman,  I  understand  the  committee  is  hoping  to  move 
quickly  through  this  hearing  and  I  know  the  nominees  will  cer- 
tainly appreciate  a  rapid  process,  so  I  will  just  say  I  strongly  en- 
dorse without  hesitation  Judge  Lasnik.  He  is  an  outstanding  mem- 
ber of  our  community,  both  professionally  and  personally.  Judge 
Lasnik  is  a  highly  respected  jurist  and  comes  with  strong  rec- 
ommendations from  judges  and  lawyers  across  the  political  spec- 
trum. 

He  will  be  an  immediate  asset  to  the  Federal  bench  with  his 
deep  knowledge  of  the  criminal  justice  system  and  his  experience 
as  a  trial  judge. 

I  want  to  wish  him  all  the  best,  as  he  is  heard  today.  I  also  want 
to  thank  Senator  Grorton  for  working  with  me  to  select  Judge 
Lasnik  and  ensure  the  finest  legal  minds  and  the  best  of  our  citi- 
zens are  seated  on  Washington's  Federal  bench. 

Again  I  thank  the  chairman  and  committee  for  taking  time  to 
hear  this  excellent  candidate  and  urge  you  to  send  his  name  to  the 
floor  immediately.  I  ask  that  the  remainder  of  my  statement  be 
submitted  to  the  record. 

Senator  Thompson.  It  will  be  made  part  of  the  record  and  thank 
you  very  much  for  being  here. 

[The  prepared  statement  of  Senator  Murray  follows:] 

Prepared  Statement  of  Senator  Patty  Murray 

Mr.  Chairman,  I  appreciate  the  committee  schediiling  our  outstanding  nominee 
from  Washington,  the  Honorable  Robert  Lasnik,  on  your  coveted,  final  hearing  for 
this  Congress.  I  wholeheartedly  endorse  the  confirmation  of  Judge  Lasnik  for  a  seat 
on  the  State  of  Washington's  Western  District  Court. 

Judge  Lasnik  has  several  members  of  his  family  with  him  today.  I  would  like  to 
recognize  Ruth  Lasnik,  his  82-year-old  mother  and  a  long-time  public  school  teacher, 
his  wife,  Seda  ("Say-dah"),  also  a  school  teacher;  and  his  three  children,  Amanda, 
Alexander  and  Andy.  He  also  has  his  bailiff,  Terri  Roberts  and  her  husband,  Rick, 
with  him  from  Seattle. 

I  understand  the  committee  is  hoping  to  move  quickly  through  this  hearing.  I 
know  the  nominees  will  certainly  appreciate  a  rapid  process!  I  want  to  say  I  strongly 
endorse,  without  hesitation.  Judge  Lasnik. 

He  is  an  outstanding  member  of  his  community — ^both  professionally  and  person- 
ally. Judge  Lasnik  is  a  highly  respected  jurist  and  comes  with  strong  recommenda- 
tions from  judges  and  lawyers  across  the  poUtical  spectrum.  He  will  be  an  imme- 
diate asset  to  ti\e  federal  bench  with  his  deep  knowledge  of  the  criminal  justice  sys- 
tem and  experience  as  a  trial  judge. 


367 

I  want  to  wish  him  all  the  best  as  he  is  heard  today.  I  also  want  to  thank  Senator 
Gorton  for  working  with  me  to  select  Judge  Lasnuc  and  ensure  the  finest  legal 
minds  and  the  best  of  our  citizens  are  seated  on  Washington's  federal  bench. 

^ain,  I  thank  the  chairman  and  committee  for  taking  time  to  hear  this  excellent 
candidate  and  urge  you  to  send  his  name  to  the  floor  immediately. 

I  ask  that  the  remainder  of  my  statement  be  inserted  in  the  record. 

Judge  Lasnik  has  been  serving  on  the  King  County  Superior  Court  since  1990  and 
was  recently  elected  to  serve  as  the  assistant  presiding  judge  for  the  next  court 
term.  He  graduated  from  Brandeis  University  with  a  degree  in  psychology  and  soci- 
ology and  later  obtained  two  master's  degrees  from  Northwestern  University  in  jour- 
nahsm  and  counseUng.  He  received  his  law  degree  from  the  University  of  Washing- 
ton in  1978. 

From  1978  through  1990,  he  worked  for  the  King  County  Prosecutor's  office  where 
he  spent  several  years  as  chief  of  staff.  In  that  role,  he  gained  a  broad  array  of  expe- 
rience as  a  trial  lawyer,  appellate  advocate,  policy  maker  and  legislative  liaison. 
During  that  period,  he  worked  with  the  state  legislature  to  establish  new  laws  on 
the  prosecution  of  child  abuse  and  famUy  violence,  in  addition  to  strengthening  vic- 
tim's rights  and  establishing  sentencing  reform. 

Judge  Lasnik  has  been  a  frequent  presenter  at  judicial  and  legal  conferences,  has 
served  on  the  Board  of  Alternative  Intervention  Resources  (a  private  non-profit  or- 
ganization running  the  King  County  Treatment  Alternatives  to  Street  Crimes  pro- 
gram), was  chair  of  the  State  Sentencing  GuideUnes  Commission,  and  is  currently 
the  chair  of  the  Bench-Bar  Press  Liaison  Committee  (the  "fire  brigade"  on  first 
amendment  issues). 

He  has  devoted  many  hours  to  working  with  students  at  all  levels,  from  third- 
graders  to  third-year  law  students,  providing  them  with  insights  into  our  justice 
system  and  presiding  over  "mock"  trials.  He  is  the  author  of  A  Parent's  Guide  to 
Adoption. 

Tne  federal  bench  will  be  strengthened  with  the  addition  of  Judge  Robert  Lasnik 
to  its  ranks. 

Senator  THOMPSON.  Representative  Chris  Cox. 

STATEMENT  OF  HON.  CHRISTOPHER  COX,  A  REPRESENTATIVE 
IN  CONGRESS  FROM  THE  STATE  OF  CALIFORNIA 

Representative  Cox.  It  is  an  honor  for  me  to  be  here  today.  As 
Senator  Feinstein  has  said,  there  is  no  one  more  qualified  that  we 
might  have  had  nominated  from  CaUfomia  and  from  Orange  Coun- 
ty than  Judge  Carter. 

As  she  outlined,  he  has  been  a  judge  for  18  years  and  before 
that,  he  was  a  DA  for  9  years.  He  spent  3  years  in  service  to  his 
country  as  a  U.S.  Marine  and,  as  you  heard,  he  is  a  decorated  vet- 
eran of  the  Vietnam  war. 

His  toughness  on  crime,  and  it  is  authentic,  is  matched  only  by 
his  compassion  for  the  victims  of  crime  and  for  people  who  are,  in 
an  odd  way,  also  victims  of  crime  and  perpetrators  simulta- 
neously— ^the  gang  members  who  get  involved  in  their  youth  and 
who  can  be  set  straight.  And  he  has  done  a  great  deal  to  set 
straight  the  lives  of  many,  many  of  our  youth. 

For  all  of  his  honors  and  accomplishments,  Judge  Carter  is  very 
much  a  humble  man.  I  know  that  because  some  years  ago  I  com- 
mitted a  youthful  indiscretion  and  I  found  myself  in  traffic  school. 

Senator  Thompson.  I  think  we  are  all  breathing  a  sigh  of  relief. 
[Laughter.] 

Representative  Cox.  I  found  myself  in  traffic  school  and  I  was, 
at  the  time,  a  very  junior  member  of  the  House  of  Representatives. 
And  I  showed  up  in  traffic  school  and  looked  around  to  see  who 
else  was  there  and  saw  Judge  Carter.  Unfortunately,  the  few  score 
of  others  who  were  there  recognized  both  of  us.  And  the  truth  is 
that  there  has  never  been  a  better  illustration  that  neither  judges 
nor  U.S.  Representatives  are  above  the  law. 


368 

Judge  Carter  is  most  assuredly  committed  to  equal  justice  under 
the  law  and  he  gives  equally  of  his  time  to  all  before  his  court  and 
in  his  private  life. 

There  is  one  other  thing  that  I  would  like  to  thank  this  commit- 
tee for  doing  and  that  is  for  confirming  a  judge,  a  fine  man,  from 
Orange  County.  In  a  State  that  has  millions  more  people  than  Can- 
ada, it  is  not  always  obvious  in  Washington  that  merely  nominat- 
ing a  Californian  is  not  always  enough.  California  is  a  big  place. 
Orange  County  itself  is  a  big  place,  bigger  than  one-third  of  the 
States  in  terms  of  population,  bigger  than  two-thirds  of  the  States 
in  terms  of  its  economy. 

And  so  we  are  not  only  pa3dng  tribute  today  to  Judge  Carter  but 
also  to  the  2V2  million  people  of  Orange  County  who  well  deserve 
and  much  appreciate  having  their  cases  decided  by  one  of  their 
own. 

I  can  think  of  no  person  that  I  would  rather  have  my  case  de- 
cided by,  whatever  side  of  the  argument  I  had,  than  the  man  that 
you  are  considering  today  and  I  am  very  proud  to  be  here  with 
Judge  Carter  and  with  his  family. 

Senator  Thompson.  Thank  you  very  much.  We  appreciate  it. 

Representative  Velazquez. 

STATEMENT  OF  HON.  NYDIA  VELAZQUEZ,  A  REPRESENTATIVE 
IN  CONGRESS  FROM  THE  STATE  OF  NEW  YORK 

Representative  Velazquez.  Thank  you,  Mr.  Chairman,  Senator 
Feinstein,  distinguished  members  of  this  committee.  It  is  indeed  an 
honor  to  introduce  Ms.  Anabelle  Rodriguez,  the  President's  nomi- 
nee for  the  Federal  District  Court  in  Puerto  Rico,  before  this  distin- 
guished committee. 

Mr.  Chairman,  I  have  known  Ms.  Rodriguez  for  over  15  years. 
I  can  tell  you  that  she  has  prepared  herself  superbly  to  serve  the 
public  and  the  judicial  system  as  a  Federal  judge.  It  is  indeed  in- 
spiring how  she  has  faced  and  overcome  great  obstacles  in  her  legal 
career. 

While  studying  law  at  the  University  of  Puerto  Rico  Law  School, 
Ms.  Rodriguez  was  the  mother  of  two.  In  fact,  both  of  her  sons  are 
here  today,  along  with  her  husband.  Ms.  Rodriguez  also  worked 
parttime  while  pursuing  her  degree.  Through  her  determination 
and  hard  work,  she  graduated  magna  cum  laude. 

After  law  school  and  a  judicial  clerkship,  Ms.  Rodriguez  entered 
the  Office  of  Solicitor  General  of  Puerto  Rico.  Through  her  dedi- 
cated service,  she  worked  her  way  up  to  become  solicitor  general. 
In  that  capacity,  she  argued  cases  before  the  first  circuit  on  behalf 
of  the  Commonwealth  of  Puerto  Rico.  She  also  coordinated  and  su- 
pervised the  cases  of  the  Federal  Litigation  Department  of  the 
Puerto  Rican  Department  of  Justice. 

Upon  leaving  government  service  in  1992,  she  joined  Puerto 
Rico's  fourth  largest  law  firm.  She  is  currently  a  senior  partner 
there.  She  also  cochairs  the  litigation  department,  supervising  com- 
plex commercial  claims.  Clearly  Ms.  Rodriguez  has  demonstrated 
great  legal  skills  as  a  litigator  and  appellate  lawyer  in  both  civil 
and  criminal  cases  and  will  make  an  effective  adjudicator. 

Others  have  recognized  her  qualifications,  as  well.  For  example, 
the  ABA  Standing  Committee  on  Federal  Judiciary  unanimously 


369 

supported  Ms.  Rodriguez  as  a  qualified  candidate  for  this  nomina- 
tion. And,  distinguished  lawyers  from  around  the  country  have  sup- 
ported her  nomination. 

Mr.  Chairman,  I  think  that  we  all  know  about  the  difficult  times 
that  the  people  of  Puerto  Rico  are  facing,  and  I  know  that  a  posi- 
tive nomination  will  make  the  women  and  the  people  of  Puerto 
Rico  very  happy  at  this  moment. 

I  strongly  urge  the  committee  to  move  forward  with  Ms. 
Rodriguez's  nomination.  Puerto  Rico  is  relying  on  this  body  to  pro- 
vide the  additional  judicial  help  it  so  desperately  needs.  Thank  you 
very  much. 

Senator  THOMPSON.  Thank  you  very  much. 

Representative  Sanchez. 

STATEMENT  OF  HON.  LORETTA  SANCHEZ,  A  REPRESENTATIVE 
IN  CONGRESS  FROM  THE  STATE  OF  CALIFORNIA 

Representative  Sanchez.  Thank  you,  Mr.  Chairman  and  mem- 
bers of  the  committee  and  in  particular  to  my  own  Senator,  Dianne 
Feinstein  for  a  great  nomination  in  Judge  Carter.  All  of  us  from 
Orainge  County  do  strongly  support  this  nomination  and  I  will  be 
short  because  I  hope  in  shortening  my  statement,  you  will  bring 
this  nomination  to  the  floor  and  get  this  done  for  us.  We  have  wait- 
ed a  long  time  for  Judge  Carter  to  be  in  the  Federal  system  in  Or- 
ange County. 

I  will  only  tell  you  that  among  all  the  other  things  that  Senator 
Feinstein  and  my  colleague  Mr.  Cox  mentioned,  that  probably  one 
of  the  most  important  things  about  Judge  Carter  is  that  he  is  an 
innovator.  While  sitting  on  the  bench  he  was  one  of  the  first  to  un- 
derstand that  instead  of  locking  people  in  crowded  jails,  community 
service  might  be  a  way  in  which  to  rectify  situations  and  he  was 
one  of  the  first  in  California  to  do  that. 

Judge  Carter  also,  from  his  own  moneys — I  know  his  wife  is  here 
today — has  put  forward  money,  time  and  time  again,  for  tattoo  re- 
moval from  gang  members  who  wish  to  get  out  of  gangs  and 
straighten  out  their  lives  and  he  has  worked  very  hard  with  our 
youth  of  Orange  County. 

And,  more  importantly,  he  is  a  judge  for  the  future,  one  that  will 
bring  all  of  the  different  interests  of  Orange  County  together  and 
one  that  will  be  fair. 

So  today  I  just  echo  once  again  the  great  choice  of  our  Senator 
Dianne  Feinstein.  Thank  you. 

Senator  THOMPSON.  Thank  you  very  much,  all  of  you,  for  being 
here. 

I  want  to  make  a  few  further  comments  about  Judge  Aleta 
Trauger,  the  nominee  to  fill  the  vacancy  on  the  U.S.  District  Court 
for  the  Middle  District  of  Tennessee. 

If  confirmed.  Judge  Trauger  will  become  the  first  woman  to  sit 
on  that  court.  Judge  Trauger  has  had  an  outstanding  career,  and 
I  believe  that  she  is  fully  prepared  for  the  duties  that  she  has  been 
nominated  to  undertake. 

I  want  to  start  by  thanking  Chairman  Hatch  and  his  staff  for 
completing  the  background  work  on  this  nomination  so  promptly  in 
order  to  allow  Judge  Trauger's  nomination  to  be  considered  at  this 
hearing. 


370 

Judge  Trauger  started  her  career  as  a  school  teacher,  as  Senator 
Frist  said.  Upon  receiving  her  master  of  arts  in  teaching,  however, 
she  promptly  enrolled  in  Vanderbilt  Law  School,  from  which  she 
graduated  in  1976.  She  began  her  legal  career  with  a  Nashville  law 
firm  and  soon  became  an  assistant  U.S.  attorney  in  Nashville,  a  job 
that  I  was  once  privileged  to  hold. 

In  1979  she  moved  to  the  U.S.  Attorney's  Office  in  Chicago,  but 
returned  to  Nashville  in  1980.  In  1981  and  1982  she  served  as  first 
assistant  U.S.  attorney  and  chief  of  the  Criminal  Division  for  Re- 
publican U.S.  Attorney  Joe  Brown,  who  is  now  a  U.S.  magistrate 
judge  in  Nashville  and  who,  of  course,  recommends  Judge  Trauger 
very  highly. 

In  1983  Judge  Trauger  returned  to  private  practice  and  for  2 
years  Judge  Trauger  moved  to  South  Carolina  and  served  as  legal 
counsel  to  the  College  of  Charleston,  SC,  a  position  that  exposed 
her  to  a  wide  variety  of  civil  law  issues. 

But  in  1985  Judge  Trauger  had  the  foresight  to  return  to  Nash- 
ville, TN,  where  she  joined  one  of  the  city's  leading  law  firms.  And 
in  1991,  public  service  called  again.  She  became  chief  of  staff  of  the 
mayor  of  metropolitan  Nashville,  Phil  Bredesen.  Judge  Trauger's 
ability  and  character  were  recognized  during  this  period  by  her  ap- 
pointment to  the  Tennessee  Court  of  the  Judiciary,  on  which  she 
served  from  1987  to  1993,  which  has  disciplinary  authority  over 
State  and  local  judges  in  Tennessee. 

In  1993  Judge  Trauger  was  appointed  U.S.  bankruptcy  judge  for 
the  Middle  District  of  Tennessee.  In  this  position  she  has  ably  de- 
veloped into  a  fine  trial  judge  whose  abilities  are  widely  recognized 
in  the  middle  district.  One  of  her  early  decisions  was  upheld  by  the 
sixth  circuit,  establishing  important  precedent  for  the  circuit,  and 
only  two  of  her  decisions  in  all  this  time  have  been  reversed  on  ap- 
peal. 

In  addition  to  her  professional  qualifications.  Judge  Trauger  has 
been  active  in  numerous  community  organizations,  and  has  served 
as  president  of  the  Tennessee  Lawyers  Association  for  Women. 

This  committee  sees  very  few  nominees  with  more  superb  quali- 
fications than  these,  and  I  am  pleased  to  recommend  Judge 
Trauger  to  the  committee.  I  am  certain  that  when  members  of  the 
full  Senate  have  an  opportunity  to  familiarize  themselves  with  her 
record,  they  too  will  support  this  nomination.  And  I  hope  that  we 
will  act  on  this  nomination  this  year  in  order  to  fill  this  vacancy 
without  delay. 

So  with  that,  I  will  ask  our  nominees  to  come  to  the  table  and 
in  alphabetical  order,  if  we  may.  Judge  Seymour,  if  you  will  move 
down  two  seats  and  let's  have  Judge  Carter  where  you  are,  please, 
and  then  Judge  Lasnik,  then  Ms.  Rodriguez,  then  Judge  Seymour 
and  then  Judge  Trauger.  And  will  you  all  stand,  please,  first? 

Do  you  swear  or  affirm  that  the  testimony  you  give  will  be  the 
truth,  the  whole  truth  and  nothing  but  the  truth,  so  help  you  Gk)d? 

Well,  ladies  and  gentlemen,  congratulations  to  you  for  being  at 
this  stage  in  the  proceedings.  There  has  already  been  a  lot  of  won- 
derful things  said  about  you.  I  am  wondering  after  a  year  or  so  on 
the  Federal  bench  if  those  same  sentiments  will  be  forthcoming. 
We  will  wait  and  see. 


371 

First  of  all,  Judge  Carter,  do  you  have  anyone  here  with  you 
today  that  you  would  like  to  introduce? 

TESTIMONY  OF  HON.  DAVID  O.  CARTER,  OF  CALIFORNIA,  TO 
BE  U.S.  DISTRICT  COURT  JUDGE  FOR  THE  CENTRAL  DIS- 
TRICT OF  CALIFORNIA 

Judge  Carter.  Mr.  Chairman,  Senator  Feinstein,  Senator  Thur- 
mond, I  proudly  introduce  my  mother,  Nancy. 

Senator  THOMPSON.  Please  stand  if  you  would. 

Judge  Carter.  My  wife  Mary  Ellen. 

Senator  THOMPSON.  Welcome. 

Judge  Carter.  Our  daughter  Lindsey,  our  son  Chris,  and  we  left 
the  other  four  children  at  home. 

Senator  THOMPSON.  Thank  you  very  much  and  welcome.  Thank 
you  very  much  for  being  here. 

Judge  Lasnik. 

TESTIMONY  OF  HON.  ROBERT  S.  LASNIK,  OF  WASHINGTON,  TO 
BE  U.S.  DISTRICT  JUDGE  FOR  THE  WESTERN  DISTRICT  OF 
WASHINGTON 

Judge  Lasnik.  Thank  you,  Mr.  Chairman  and  Senator  Thurmond 
and  Senator  Feinstein. 

In  the  front  row  here  I  have  my  mother  Ruth  Lasnik.  Next  to 
her  are  her  three  grandchildren,  Amanda,  Andy  and  Alexander. 
And  my  wife  Seda.  Next  to  Seda  is  my  bailiff  of  my  entire  time  on 
the  bench,  Teri  DeHaan  Roberts  and  her  husband  Rick.  And  I  have 
a  childhood  friend  from  fourth  grade  here.  Bob  Silverman,  who 
came  down  from  New  Jersey.  He  is  a  travel  agent.  His  fiance, 
Ronny,  and  his  son  Sean.  Please  stand.  Thank  you. 

Senator  Thompson.  All  right.  Thank  you  very  much  and  wel- 
come. 

Ms.  Rodriguez. 

TESTIMONY  OF  ANABELLE  RODRIGUEZ,  OF  PUERTO  RICO,  TO 
BE  U.S.  DISTRICT  JUDGE  FOR  THE  DISTRICT  OF  PUERTO  RICO 

Ms.  Rodriguez.  Thank  you,  Mr.  Chairman.  I  have  with  me  here 
my  husband  Francisco,  my  elder  son  Ricky  and  my  younger  son 
Fernando.  Not  here  because  she  couldn't  maJce  the  trip,  my  mother, 
and  I  think  I  would  be  remiss  if  I  did  not  take  a  short  time  to  re- 
member the  memory  of  my  father,  who  unfortunately  passed  away 
a  few  years  ago  but  he  is  somewhere  in  here.  Thank  you. 

Senator  Thompson.  Right.  Thank  you  very  much.  I  am  sure  you 
are  right  and  welcome  to  your  family. 

Judge  Seymour. 

TESTIMONY  OF  HON.  MARGARET  B.  SEYMOUR,  OF  SOUTH 
CAROLINA,  TO  BE  U.S.  DISTRICT  JUDGE  FOR  THE  DISTRICT 
OF  SOUTH  CAROLINA 

Judge  Seymour.  Thank  you,  Mr.  Chairman,  Senator  Thurmond 
and  Senator  Feinstein. 

I  would  like  to  introduce  my  husband,  Joseph  Shine,  my  son, 
Craig  Sejnnour,  my  other  son,  Eric  Shine,  my  mother,  Mrs.  Vanilla 
Beane,  my  aunt,  Inez  Dade,  my  nephew  Michael  Jefferson,  my 
niece  Crystal  Beane.  I  have  a  friend  from  South  Carolina  who  is 


372 

here,  Kelly  Shackleford,  and  a  friend,  Seth  Silberman,  who  is  also 
here. 

Senator  Thompson.  All  right.  Welcome.  Thank  you  very  much. 

Judge  Seymour.  I  would  also  like  to  say  that  two  members  of  my 
family  are  not  here  with  me.  That's  my  father  who  passed  away 
and  my  aunt,  Louise  Beane,  but  I  am  sure  they  are  here  with  me 
in  spirit. 

Senator  Thompson.  Thank  you  very  much. 

Judge  Trauger. 

TESTIMONY  OF  HON.  ALETA  A.  TRAUGER,  OF  TENNESSEE,  TO 
BE  U.S.  DISTRICT  JUDGE  FOR  THE  MIDDLE  DISTRICT  OF 

TENNESSEE 

Judge  Trauger.  Mr.  Chairman,  Senator  Thurmond,  Senator 
Feinstein,  thanks  for  having  us. 

I  would  like  to  introduce  my  husband,  Byron  Trauger,  who  is 
here,  my  daughter  Katherine  Trauger,  who  promised  she  would 
stand  up,  my  brother-in-law  Tom  Trauger,  who  is  a  lawyer  practic- 
ing in  the  District,  and  his  wife  Jana,  who  is  a  filmmaker.  They 
are  both  here — Jana  Belsky. 

questioning  by  senator  THOMPSON 

Senator  Thompson.  Wonderful.  Welcome.  Glad  to  see  you  here 
today. 

Judge  Carter,  I  notice  that  despite  your  extensive  experience  in 
prosecution  and  as  a  judge,  you  have  almost  no  experience  in  han- 
dling civil  cases,  no  experience  in  Federal  court.  As  you  know, 
there  are  many  complex  procedural  and  substantive  issues  to  ad- 
dress in  the  Federal  system.  Tell  the  committee  what  you  intend 
to  do  to  prepare  yourself  to  handle  a  significant  docket  of  civil  liti- 
gation. 

Judge  Carter.  My  belief  is  that  just  old-fashioned  hard  work,  an 
awful  lot  of  long  hours,  Mr.  Chairman. 

Second,  I  am  going  to  seek  the  wisdom  and  guidance  of  the  other 
Federal  judges  and  presume  that  I  know  very  little  in  the  civil 
arena  as  I  work  toward  that  competency  level. 

Third,  I  will  rely  upon  the  litigants  and  their  ability  to  prepare 
and  my  ability,  I  hope,  to  read  hours  and  hours  of  their  briefs  and 
to  make  certain  that  I  reread  those  until  I  feel  very  comfortable 
making  those  decisions. 

Senator  Thompson.  All  right,  sir.  I  notice  you  have  undertaken 
a  number  of  programs  to  reduce  the  delay  of  handling  cases  in  your 
courts.  The  Federal  courts  are  not  quite  yet  overwhelmed  with 
criminal  cases  the  way  some  State  courts  are  but  if  Congress  keeps 
acting  the  way  we  are,  they  soon  may  be. 

What  factors  are  needed  in  a  judge  to  reduce  the  delay  and  move 
cases  along  promptly?  And  what  differences  are  there  between 
moving  criminal  cases  which,  by  law,  must  be  tried  within  a  cer- 
tain period  of  time,  and  civil  cases,  which  tend  to  drag  on? 

Judge  Carter.  Uniformity,  predictability  of  that  judge.  When 
time  parameters  are  set,  time  limits  are  set,  that  they  are  truly 
meant  by  that  jurist  and  they  are  abided  to  by  counsel. 

I  also  think  it  is  critical  that  the  judge  is  active  in  that  case  man- 
agement. And  as  the  master  calendar  judge  handling  over  13,000 


373 

cases  a  year  for  many,  many  years,  I  cannot  impress  upon  you,  Mr. 
Chairman,  how  difficult  that  can  be  without  the  rehance  of  counsel 
on  that  uniformity  and  that  consistency  on  a  jurist's  part. 

Senator  THOMPSON.  It  is  the  judge's  obligation  to  keep  it  moving 
along  and  keep  lawyers  moving. 

Judge  Carter.  Absolutely.  The  detriment,  Mr.  Chairman,  to  vic- 
tims and  to  the  litigants  without  your  ability  to  handle  a  docket  is 
sometimes  justice  not  served. 

Senator  Thompson.  Judge  Lasnik,  you  too  have  no  civil  litigation 
experience  £ind  almost  no  Federal  court  experience.  Please  address 
yourself  to  the  matter  that  I  just  raised  with  Judge  Carter  and  how 
you  feel  that  your  experience  qualifies  you  and  what  steps  and 
preparation  you  might  take  to  make  this  transition. 

Judge  Lasnik.  Mr.  Chairman,  when  I  went  on  the  bench  in  Janu- 
ary 1990  I  had  never  tried  a  civil  case  and  I  v/ent  right  on  the  civil 
calendar  and  90  percent  of  my  time  on  the  superior  court  bench 
has  been  handling  exclusively  civil  cases. 

I  am  going  to  approach  this  the  same  way  I  approached  that.  I 
had  a  fear  factor  that  motivated  me  to  work  twice  as  hard  because 
I  figured  I  was  often  in  a  courtroom  with  attorneys  who  knew  more 
than  I  did  about  the  area,  and  I  didn't  like  that  feeling. 

So  I  think  that  I  have  since  developed  an  experience  level  of  han- 
dling complex  civil  cases  and  moving  them  along  quickly.  So  I  be- 
lieve that  I  will  be  able  to  handle  the  civil  caseload  in  Federal 
court,  which  tends  to  be  more  complex  cases. 

In  regard  to  the  actual  Federal  system,  I  would  echo  what  Judge 
Carter  said — work  hard. 

Senator  Thompson.  Thank  you  very  much. 

Judge  Trauger,  I  of  course  am  very  familiar  with  your  back- 
ground and  wide  experience  but  as  you  know,  there's  widespread 
concern  in  Tennessee  that  Federal  courts  have  allowed  habeas  cor- 
pus petitions  in  capital  cases  to  remain  pending  for  too  long  with- 
out a  decision,  except  when  the  decision  is  to  vacate  the  death  sen- 
tence. 

Would  you  have  any  problem  imposing  a  death  sentence,  if  ap- 
propriate under  Federal  law,  or  upholding  one  under  State  law  and 
do  you  believe  that  it's  appropriate  for  a  Federal  judge  to  allow  ha- 
beas corpus  petitions  in  capital  cases  to  remain  undecided  for 
lengthy  periods  of  time? 

Judge  Trauger.  In  answer  to  the  second  part  of  the  question,  no, 
I  do  not  think  it's  appropriate  to  allow  them  to  languish.  I  think 
for  the  sake  of  the  people  involved  with  the  crime  and  the  defend- 
ant and  the  victims  and  their  families,  they  need  quick  decisions 
and  I  would  not  let  them  languish. 

I  have  no  philosophical  or  moral  or  religious  problems  with  the 
death  penalty. 

Senator  Thompson.  Of  course  you're  right  and  it  does  very  much 
affect  the  family  and  I  think  it  brings  a  certain  amount  of  disre- 
pute with  regard  to  the  way  the  law  is  looked  upon  and  this  is  cer- 
tainly, I  think,  something  that  we  should  address. 

I  am  going  to  defer  to  my  colleagues  now  for  further  questions. 
Senator  Thurmond. 


374 

QUESTIONING  BY  SENATOR  THURMOND 

Senator  Thurmond.  Thank  you  very  much.  I  just  have  about 
three  questions  I  would  Uke  to  ask  you.  I  will  read  the  question 
and  then  I  will  go  down  and  get  each  one  of  your  answers. 

Do  you  have  any  personal  objections  to  the  death  penalty  that 
would  cause  you  to  be  reluctant  to  impose  the  death  penalty? 

Judge  Carter.  Senator  Thurmond,  I  do  not. 

Judge  Lasnik.  I  have  no  such  reservations. 

Ms.  Rodriguez.  No,  sir,  I  do  not. 

Judge  Seymour.  Senator  Thurmond,  I  do  not. 

Judge  Trauger.  No  reservations.  Senator  Thurmond. 

Senator  Thurmond.  Thank  you. 

Do  any  of  you  have  any  personal  objections  to  mandatory  mini- 
mum criminal  sentences  that  would  make  you  reluctant  to  impose 
or  uphold  such  a  sentence? 

Judge  Carter.  I  have  no  objection  to  mandatory  sentences,  Sen- 
ator Thurmond. 

Ms.  Rodriguez.  No  objection.  Senator  Thurmond. 

Judge  Seymour.  I  have  no  objection  to  mandatory  minimum  sen- 
tences. 

Judge  Trauger.  I  have  no  objection  to  those  sentences,  Senator. 

Judge  Lasnik.  And  neither  do  I. 

Senator  Thurmond.  The  third  question  I  have  in  mind,  as  you 
know,  the  sentencing  of  criminal  defendants  in  Federal  court  is 
conducted  under  the  Federal  sentencing  guidelines.  Some  argue 
that  the  guidelines  do  not  provide  enough  flexibility  for  the  sen- 
tencing judge  while  others  believe  the  guidelines  are  entirely  prop- 
er. 

What  is  your  view  of  the  Federal  sentencing  guidelines  and  their 
application? 

Judge  Carter.  That  they  will  be  upheld  by  me,  that  they  have 
been  upheld  by  the  courts  and  that  they  have  been  passed  by  the 
Congress  and  approved  by  the  Senate. 

Judge  Lasnik.  I  support  guideline  sentencing.  We  have  it  in 
Washington  State  and  I  have  sentenced  under  it  and  I  believe  it 
is  appropriate  and  I  will  fully  support  it  as  a  Federal  judge. 

Ms.  Rodriguez.  I  fully  support  the  Federal  guidelines.  Senator 
Thurmond.  They  were  established  as  a  policy  decision  by  Congress 
and  I  intend  to  apply  them. 

Judge  Seymour.  Senator  Thurmond,  I  support  the  sentencing 
guidelines  and  would  have  no  difficulty  in  applying  those  in  any 
case. 

Judge  Trauger.  I  feel  the  same.  Senator.  I  have  no  problem  with 
the  sentencing  guidelines,  enforcing  them. 

Senator  THURMOND.  I  don't  think  I  will  ask  any  other  questions. 
I  think  you  are  all  well  qualified. 

Senator  THOMPSON.  Thank  you  very  much. 

Senator  Feinstein. 

questioning  by  senator  feinstein 

Senator  Feinstein.  Thank  you  very  much,  Mr.  Chairman. 
Recently  we  have  heard  a  great  deal  about  "judicial  activism."  A 
judicial  activist  has  been  defined  as  a  judge  who  doesn't  appreciate 


375 

the  inherent  Hmits  on  judicial  authority  under  the  Constitution 
and  who  seeks  to  legislate  from  the  bench. 

I  have  two  questions  I  would  like  to  ask  each  one  of  you  to  an- 
swer on  judicial  activism.  The  first  is,  what  do  you  understand  the 
inherent  limits  on  judicial  authority  to  be  under  the  Constitution? 
Whoever  wants  to  go  first,  and  then  we  will  go  right  down  the  line. 
Judge  Carter? 

Judge  Carter.  Under  the  separation  of  powers  the  courts  are 
bound  by  the  Constitution,  legislation  and  stare  decisis  and  there 
is  no  room  for  a  judge  interjecting  a  personal  opinion  into  that  deci- 
sionmaking process. 

Senator  Feinstein.  Judge  Lasnik. 

Judge  Lasnik.  Thank  you.  Senator,  I  believe  that  as  a  judge, 
your  job  is  to  determine  just  the  case  that  is  in  front  of  you,  not 
to  worry  about  sweeping  reform  or  running  institutions.  Your  deci- 
sions are  limited  despite  what  is  before  you  and  you  do  it  with  a 
mind  toward  the  fact  that  there  are  other  branches  of  government 
that  are  given  the  authority  and  the  power  to  make  those  kinds  of 
policy  decisions. 

So  I  believe  that  my  experience  on  the  bench  shows  that  I  would 
respect  the  separation  of  powers  and  limit  judicial  activity  to  just 
deciding  the  cases  that  are  in  front  of  you  and  not  going  beyond 
that. 

Senator  Feinstein.  Thank  you. 

Ms.  Rodriguez.  Senator  Feinstein,  the  Constitution  has  given 
the  judiciary  the  responsibility  to  interpret  and  apply  the  law  and 
that  is  the  limits  of  a  judge's  responsibility  under  the  Constitution 
and  that  is  the  only  thing  the  judge  should  do.  He  or  she  should 
not  substitute  his  criteria  for  that  of  the  legislature. 

Senator  Feinstein.  Thank  you,  Ms.  Rodriguez. 

Judge. 

Judge  Seymour.  Senator  Feinstein,  under  our  system  of  govern- 
ment we  have  three  branches  of  government.  It  is  inappropriate  in 
my  opinion  for  judges  to  engage  in  judicial  activism.  The  role  of  the 
judge  is  to  interpret  the  law,  the  legislature  is  to  make  the  law, 
and  the  executive  branch  is  to  enforce  the  law  and  that  a  judge 
should  not  impose  his  or  her  personal  views  while  sitting  as  a 
judge  on  the  bench. 

Senator  Feinstein.  Thank  you. 

Judge. 

Judge  Trauger.  Senator  Feinstein,  my  views  are  similar.  The 
courts  are  for  deciding  cases  and  controversies  based  upon  the  facts 
and  the  law  before  them  and  they  do  not  fill  a  vacuum  with  their 
own  policy  decisions.  That  is  what  the  legislative  branch  is  for. 

Senator  Feinstein.  Now  I  assume  if  you  are  confirmed  as  a 
judge,  at  some  point  you  may  be  faced  with  having  to  apply  either 
a  Supreme  Court  or  an  appellate  court  precedent  with  which  you 
do  not  personally  agree.  Would  you  consider  yourself  bound  by  such 
precedent? 

Judge  Trauger.  I  would  consider  myself  bound  by  Supreme 
Court  precedent  and  the  law  in  my  circuit  and  for  5  years  as  a 
bankruptcy  judge  I  have  considered  myself  so  bound,  even  though 
sometimes  I  didn't  personally  agree  with  what  I  was  ruling  on. 

Senator  Feinstein.  Thank  you. 


376 

Judge  Seymour. 

Judge  Seymour.  I  would  also  consider  myself  bound  by  the  deci- 
sions set  down  by  the  Supreme  Court  and  the  decisions  in  my  cir- 
cuit, whether  or  not  I  agreed  with  them. 

Senator  Feinstein.  Thank  you. 

Ms.  Rodri^ez. 

Ms.  Rodriguez.  Absolutely,  Senator  Feinstein.  I  would  be  bound, 
if  confirmed,  by  the  decisions  of  the  Supreme  Court  and  of  the  first 
circuit  court. 

Senator  Feinstein.  Thank  you. 

Judge  Lasnik.  I  agree  completely.  My  personal  beliefs  about  a 
decision  are  irrelevant.  I  would  enforce  the  precedent  in  my  circuit 
and  by  the  U.S.  Supreme  Court. 

Judge  Carter.  And  Senator,  I  would  follow  the  Supreme  Court 
and  the  district  courts.  I  am  bound. 

Senator  Feinstein.  Thank  you,  Judge  Carter. 

Now,  if  you  are  confirmed  as  a  Federal  judge,  at  some  point  you 
will  undoubtedly  face  a  case  of  first  impression  on  your  circuit.  In 
such  a  case,  there  will  not  be  a  direct  precedent  on  which  you  can 
rely.  In  such  a  case,  what  will  you  consider  in  making  your  deci- 
sion? 

Judge  Trauger.  I  would  consider  analogous  situations  in  Su- 
preme Court  and  circuit  court  decisions  and  I  also  would  look  at 
circuits  where  this  issue  has  been  ruled  on  for  persuasive  authority 
to  see  whether  I  agreed  with  that  reasoning. 

And  what  I  have  done  since  I  have  been  a  bankruptcy  judge  also 
is  to  consult  with  my  learned  colleagues  about  issues.  I  find  often 
they  have  good  thoughts  beyond  what  I  think  myself. 

Senator  Feinstein.  Thank  you,  Judge. 

Judge. 

Judge  Seymour.  I  agree  with  Judge  Trauger.  I  would  look  to  the 
Constitution  and  the  cases  of  the  Supreme  Court  that  would  be 
analogous.  I  would  look  to  cases  in  other  circuits  that  may  have 
some  bearing  on  the  issues  that  would  be  before  me  and  look  to 
them  for  maybe  some  precedent  that  they  have  set  that  would  be 
applicable. 

Senator  Feinstein.  Thank  you. 

Ms.  Rodriguez. 

Ms.  Rodriguez,  Senator  Feinstein,  I  would  agree  with  every- 
thing that  has  been  said.  I  would  only  add  that  usually  my  experi- 
ence has  been  that  this  type  of  case  arises  soon  after  a  piece  of  leg- 
islation has  been  approved  either  by  Congress  or  by  the  State  legis- 
lature and  in  those  cases  what  I  would  do  is  I  would  just  look  at 
the  plain  language  of  the  legislation  and  find  the  meaning  from 
there  and  then  apply  it  to  the  facts  of  the  case. 

Senator  Feinstein.  Thank  you.  Judge. 

Judge  Lasnik.  I  agree  with  what  my  colleagues  have  said  and  I 
would  imagine  in  a  case  like  that  you  would  have  very  good  brief- 
ing, hopefully  from  the  lawyers,  and  I  would  take  very  seriously 
the  cases  cited  therein  to  see  if  there  is  persuasive  arguments  that 
can  be  made  even  without  binding  precedent.  But  ultimately  it  is 
the  language  of  the  Constitution  and  the  plain  language  of  the  stat- 
ute that  will  control  me. 

Senator  Feinstein.  Thank  you. 


377 

Judge  Carter. 

Judge  Carter.  Senator,  the  language  of  the  Constitution,  the 
plain  language  of  the  statute  if  it  is  a  statute  in  front  of  me,  prece- 
dent if  it  exists,  first  in  my  district  and  then,  of  course,  in  other 
districts  if  none  exists. 

Senator  Feinstein.  Thank  you  very  much. 

Thanks,  Mr.  Chairman.  That  completes  my  questions. 

Senator  THOMPSON.  Thank  you  very  much.  I  think  Senator  Fein- 
stein has  properly  put  all  of  the  correct  substantive  questions  to 
the  nominees  and  I  am  not  going  to  ask  any  further  questions. 

I  am  also  informed  that  due  to  a  hurricane.  Resident  Commis- 
sioner Carlos  Romero-Barcelo  of  Puerto  Rico  was  unable  to  attend 
this  hearing  but  he  has  asked  that  his  statement  be  submitted  for 
the  record  and  it  will  be  made  part  of  the  record. 

[The  prepared  statement  of  Mr.  Romero-Barcelo  follows:] 

Prepared  Statement  of  Carlos  Romero-Barcelo,  A  Delegate  in  Congress 

From  Puerto  Rico 

I  oppose  the  pending  nomination  of  Ms.  Anabelle  Rodriguez  to  the  United  States 
District  Couri;  for  Puerix)  Rico  which  is  scheduled  for  a  hearing  Thiu-sday,  October 
1st.  The  process  by  which  she  was  proposed  has  violated  the  traditional  standards 
and  practices  used  in  recommending  judges  to  the  Federal  bench.  In  submitting  her 
nomination,  the  Administration  has  ignored  Ms.  Rodriguez's  lack  of  experience  and 
dismissed  the  concerns  and  objections  raised  by  Puerto  Rico's  highest  elected  offi- 
cials. The  Governor  of  Puerto  Rico,  the  President  of  the  Senate,  the  Speaker  of  the 
House,  and  I  (the  only  representative  of  the  people  in  Congress)  have  clearly  and 
consistently  opposed  her  nomination. 

The  position  of  Federal  judge  is  not  an  internship;  it  demands,  from  the  outset, 
an  intimate  familiarity  with  civil,  criminal  and  Federal  trial  law  and  the  confidence, 
judgment  and  respect  that  is  gained  only  through  long  years  of  court  room  experi- 
ence. Regrettably,  Ms.  Rodriguez  sorely  lacks  this  practical  knowledge.  Admitted  to 
the  Puerto  Rico  bar  in  1986,  it  was  just  over  four  years  ago — in  December  of  1993 — 
that  Ms.  Rodriguez  was  admitted  to  practice  in  the  Federal  Court.  It  is  noteworthy 
that  she  had  only  been  admitted  to  practice  in  the  Federal  bench  only  two  years 
before  she  was  first  nominated.  Her  corporate  law  career  has  left  her,  for  the  most 
part,  bereft  of  jury,  criminal  or  District  Bankruptcy  Court  trial  experience. 

Puerto  Rico  has  the  unwelcomed  designation  as  a  "High  Intensity  Drug  Traffick- 
ing Area"  and  the  practical  result  of  this  reality  is  that  the  island's  District  Court 
handles  a  large  volimie  of  criminal  trial  cases.  In  this  environment,  Ms.  Rodriguez's 
complete  lack  of  criminal  litigation  experience  would  be  a  Uabihty  instead  of  an 
asset  to  the  war  against  crime  in  Puerto  Rico  and  throughout  the  nation. 

Ideologically,  Ms.  Rodriguez  disavows  United  States'  sovereignty  over  Puerto  Rico 
under  the  Territorial  Clause  of  the  U.S.  Constitution.  How  then  will  she  uphold  the 
Constitution  and  enforce  equal  protection  and  equal  rights  under  the  law?  This  is 
no  small  matter;  the  Territorial  Clause  of  the  Constitution  is  the  linchpin  that  gov- 
erns Puerto  Rico's  relationship  with  the  U.S.  and  it  is  the  basis  of  more  than  a  cen- 
tury of  Constitutional  law.  If  the  Senate  approves  the  nomination  of  Ms.  Rodriguez, 
it  welcomes  a  Trojan  horse  into  the  judiciary. 

Finally,  the  disregard  of  the  objections  to  Ms.  Rodriguez's  nomination  raised  by 
the  democratically  elected  representatives  of  the  people  of  Puerto  Rico  undermines 
the  democratic  process  and  local  self-rule.  Traditionally,  Senators  and  the  ranking 
elected  officials  of  a  state  are  given  the  primary  role  in  the  pre-screening  and  selec- 
tion of  nominees  for  local  Federal  judgeships.  Every  nominee  being  considered  in  to- 
day's hearing  is  evidence  of  this  tradition  with  the  exception  of  one — Ms.  Rodriguez, 
who  is  being  introduced  by  Congresswoman  Velazquez  from  New  York.  Governor 
Pedro  Rosello  of  Puerto  Rico  and  I,  the  Resident  Commissioner  and  sole  representa- 
tive to  Congress  of  Puerto  Rico's  3.8  million  U.S.  citizens,  are  profoimdly  alarmed 
by  the  nomination  of  Ms.  Rodriguez  for  the  reason  this  statement  has  detailed. 

Our  concerns  have  been  echoed  by  a  nvimber  of  Republican  and  Democratic  Puerto 
Rican  legislators.  It  is  beyond  our  comprehension  why  this  nomination  has  pro- 
ceeded despite  our  repeated  protests.  Sadly,  the  Administration's  unilateral  action 
on  this  matter  reeks  of  colonialism  and  it  estabUshes  a  dangerous  precedent. 


53-754  99  - 13 


378 

I  beseech  you  to  put  the  nomination  of  Ms.  Rodriguez  to  the  District  Court  for 
Puerto  Rico  on  hold  until  next  year,  so  that  we  may  have  time  to  look  for  a  more 
qualified  candidate  with  the  support  of  the  duly  elected  representatives  of  the  U.S. 
citizens  of  Puerto  Rico. 

Senator  THOMPSON.  The  record  will  remain  open  for  additional 
questions  until  5  p.m.  Friday,  October  2. 

For  those  who  observe  these  hearings,  it  is  important  for  you  to 
understand  that  these  nominees  are  here  today  based  upon  exten- 
sive background  checks,  extensive  examination  of  their  record. 
They  are  here  today  and,  in  my  prediction,  will  be  confirmed  not 
because  necessarily  of  what  transpired  here  today  but  because  of 
their  entire  record  that  has  been  very  thoroughly  examined,  I  as- 
sure you,  by  many  hours  of  inquiry  and  investigation. 

Just  a  parting  comment,  if  I  might.  As  one  who  practiced  law  for 
many  years  and  who  has  been  on  the  Judiciary  Committee  for  a 
short  period  of  time,  it  occurs  to  me  in  times  like  this  that  you  are 
going  to  be  a  part  of  the  institution  that  we  have  in  this  country 
that  still  probably  is  held  in  highest  regard  by  the  American  peo- 
ple. The  executive  branch  has  taken  its  beatings,  the  legislative 
branch  has  taken  its  beatings  and  if  surveys  are  any  indicator,  nei- 
ther of  us  are  doing  real  well  in  the  eyes  of  the  American  people. 

But  almost  everybody  in  America  thinks  that  they  can  go  to  a 
trial  level  judge,  especially  a  Federal  judge,  and  get  a  fair  trial. 
And  it  cuts  across  all  boundaries,  and  that  is  really  something  spe- 
cial that  we  still  have. 

So  that  makes  it  even  more  important  that  we  conduct  ourselves, 
both  personally  and  with  regard  to  the  decisions  you  make,  in  a 
manner  in  keeping  with  that  trust.  It  is  really  a  privileged  position, 
as  I  am  sure  you  know,  a  lifetime  position.  And  this  is  the  way  in 
which  we  will  prevent  intrusions  upon  the  judiciary,  because  there 
is  always  constantly  that  temptation  among  the  legislative  branch 
especially  and  there  are  an  awful  lot  of  people,  and  I  think  based 
on  some  pretty  sound  judgment,  who  think  in  many,  many  cases 
that  we  have  had  individuals  who  have  taken  advantage  of  a  life- 
time appointment  in  order  to  become  super-legislators.  And  it  is  a 
challenge  of  your  character  really  to  avoid  that  and  do  what  you 
say  that  you  will  do,  as  you  have  expressed  here  today.  And  I  know 
from  your  backgrounds  that  you  will  do  that. 

I  also  have  a  statement  from  Senator  McCain  to  be  entered  into 
the  record.  That  will  be  also  made  part  of  the  record. 

[The  prepared  statement  of  Senator  McCain  follows:! 

Prepared  Statement  of  Senator  John  McCain 

It  is  my  pleasiire  to  introduce  to  you  Judge  David  Carter. 

I  have  known  Judge  Carter  for  a  number  of  years.  Judge  Carter  shares  many  of 
the  values  to  which  I  am  committed.  He  is  a  man  of  integrity,  honor,  and  intellect. 
He  is  regarded  by  his  peers  to  be  a  tough,  but  compassionate,  hardworking  judge. 
In  addition  he  has  served  his  country  in  the  military.  He  was  a  Rhodes  Scholar  can- 
didate when  he  volunteered  for  the  United  States  Marine  Corps,  and  served  from 
1967  to  1969.  He  was  a  platoon  commander  at  Khe  Sahn,  Vietnam,  during  the  Tet 
Offensive,  and  was  wounded  three  times,  receiving  the  Piirple  Heart  and  the  Bronze 
Star  for  Valor. 

After  spending  almost  a  year  in  the  Oakland  Naval  Hospital,  Judge  Carter  en- 
rolled in  law  school  and  upon  graduation,  joined  the  Orange  County,  District  Attor- 
neys Office.  He  soon  rose  to  the  rank  of  Senior  Deputy  District  Attorney  in  the 
Homicide  Division. 


379 

Judge  Carter  has  been  a  Superior  Court  Judge  for  16  years,  and  has  been  a  su- 
pervising Judge  for  9  of  those  16  years.  In  that  capacity,  he  presided  over  10,000 
criminal  cases  a  year  in  our  Nation's  5th  largest  county. 

Judge  Carter  has  a  well  deserved  reputation  throughout  the  Orange  County  Com- 
munity. He  will  bring  distinction  to  the  Federal  Covuts,  just  as  he  has  earned  the 
praise  of  his  colleagues  in  Orange  County  and  on  the  State  Courts. 

It  is  my  pleasure  to  make  this  appearance  on  his  behalf 

Senator  Feinstein.  Mr.  Chairman,  may  I  ask  that  a  statement 
from  Senator  Kennedy  be  placed  in  the  record,  as  well? 
Senator  THOMPSON.  It  will  be  made  a  part  of  the  record. 
[The  prepared  statement  of  Senator  Kennedy  follows:] 

Prepared  Statement  of  Senator  Edward  M.  Kennedy 

Mr.  Chairman,  I  welcome  today's  hearing  to  consider  these  five  distinguished 
nominees  for  the  federal  judiciary.  The  federal  courts  continue  to  be  seriously  short- 
handed.  The  quality  of  justice  is  suffering,  and  we  need  to  do  all  we  can  to  fill  the 
existing  vacancies  before  Congress  adjourns  this  year. 

So  far  this  year,  we  have  confirmed  42  nominees.  53  more  are  waiting  for  con- 
firmation. This  backlog  is  not  fair  to  the  nominees,  to  the  courts,  or  to  all  those  who 
are  forced  to  endure  excessive  delays  in  their  cases.  Too  often,  it  is  women  nominees 
and  minority  nominees  who  have  been  subjected  to  the  most  serious  delays. 

At  todays  hearing,  we  are  considering  five  well-qualified  nominees  to  federal 
courts — Judge  Lasnik,  Judge  Trauger,  Judge  Carter,  Magistrate  Seymour,  and 
former  SoUcitor  General  Ro<£iguez — and  I  am  confident  they  will  serve  on  the  bench 
with  great  distinction. 

One  of  these  nominees — ^Anabelle  Rodriguez — deserves  special  attention.  She  was 
nominated  for  the  U.S.  District  Court  in  Puerto  Rico  in  January  1996 — almost  three 
years  ago.  At  that  time,  the  vacancy  had  already  existed  for  over  a  year  and  a  half— 
since  January  1996. 

The  American  Bar  Association's  Standing  Committee  on  the  Federal  Judiciary 
voted  unanimously  that  she  is  quaUfied  for  this  important  position,  and  her  impres- 
sive service  as  Solicitor  General  of  Puerto  Rico  demonstrates  these  qualifications. 
In  fact,  as  Solicitor  General,  she  appeared  numerous  times  before  the  Supreme 
Court  of  Puerto  Rico  and  the  Court  of  Appeals  for  the  First  Circuit,  which  includes 
Massachusetts,  so  oiu*  own  state  is  well  aware  of  her  ability  and  qualifications. 

After  leaving  the  Solicitor  General's  office,  Ms.  Rodriguez  joined  one  of  Puerto 
Rico's  finest  law  firms,  and  she  now  serves  as  co-chair  of  the  litigation  department 
of  the  firm. 

Obviously,  today's  hearing  on  Ms.  Rodriguez  is  long  overdue.  Finally,  at  long  last, 
the  clouds  have  parted  and  I  hope  that  the  nomination  will  be  expeditiously  ap- 
proved by  the  Committee  and  the  Senate.  The  Justices  of  the  Supreme  Court  of 
Puerto  Rico  and  the  federal  judges  in  Puerto  Rico  have  made  abundantly  clear  that 
the  need  to  fill  this  vacancy  is  urgent.  Ms.  Rodriguez  is  well  qualified,  and  I  vu^e 
the  committee  and  the  senate  to  act  promptly. 

I  welcome  all  our  nominees  today,  and  I  took  forward  to  their  testimony. 

Senator  Thompson.  If  there  is  nothing  else,  we  are  hoping  to 
move  these  nominations  rapidly.  So  if  there  is  nothing  else,  we 
stand  adjourned. 
[The  prepared  statement  of  Mr.  Gutierrez  follows:] 
[Whereupon,  at  3:30  p.m.,  the  committee  was  adjourned.] 

Prepared  Statement  of  Congressman  Luis  V.  Gutierrez 

It  is  indeed  an  honor  for  me  to  submit  this  statement  before  this  distinguished 
Committee  on  this  great  occasion  and  I  wish  to  thank  the  Chairman  for  this  oppor- 
tunity. 

I  am  very  honored  to  submit  this  statement  because  it  is  not  often  that  I,  or  this 
Committee  for  that  matter,  have  the  opportunity  to  support  the  nomination  of  such 
a  highly  quaUfied  and  competent  candidate  as  Ms.  Anabelle  Rodriguez  to  become 
a  Federal  Judge. 

It  is  the  responsibility  of  this  Committee  to  make  sure  that  our  people  and  our 
country  maintain  a  highly  qusdified  judiciary. 

We  are  a  country  of  laws. 


380 

Our  democracy,  which  has  achieved  the  highest  degree  of  respect  for  the  rights 
of  the  individual  in  the  history  of  mankind,  depends  on  a  strong  judiciary  to  protect 
those  very  rights  enshrined  in  our  Constitution  and  in  our  laws. 

Our  federal  judges  have  been,  on  many  occasions,  the  unsung  heroes  of  the  de- 
fense of  liberty  and  freedom. 

Our  Founding  Fathers  had  the  vision  and  foresight  to  create  a  system  of  govern- 
ment based  on  the  separation  of  powers. 

Since  even  this  great  democracy  of  ours  is  not  perfect,  we  were  blessed  in  our  de- 
mocracy that  our  Founding  Fathers  bequeathed  us  the  power  of  judicial  review. 

This  power,  as  is  the  power  to  enforce  our  laws  equitably  and  fairly,  rests  with 
our  judiciary. 

As  in  the  case  with  civil  and  constitutional  rights,  federal  judges  often  exercise 
great  courage  in  the  fight  against  drugs,  and  organized  crime. 

I  know  this  Committee,  under  the  leadership  of  its  Chairman  and  the  active  par- 
ticipation of  every  one  of  its  members  takes  this  responsibility  very  seriously. 

I  do,  too. 

I  understand  the  heavy  responsibility  that  rests  with  any  member  of  Congress 
who  supports  a  nomination  to  the  federal  judiciary. 

Because  I  know  of  her  educational  and  professional  credentials,  I  have  no  reserva- 
tion whatsoever  in  fully  supporting  President  Clinton's  nomination  of  Ms.  Anabelle 
Rodriguez  to  become  a  federal  judge  assigned  to  the  federal  district  court  for  the 
district  of  Puerto  Rico.  I  respectfully  request  that  this  Committee  act  expeditiously 
and  promptly  in  recommending  her  confirmation  by  the  United  States  Senate. 

Ms.  Anabelle  Rodriguez  is  highly  qualified  for  federal  judgeship. 

Ms.  Rodriguez  has  achieved  the  highest  educational  honors  at  every  level  of  edu- 
cation she  has  attended. 

She  is  a  lawyer  who  has  achieved  a  high  level  of  professional  experience,  includ- 
ing having  been  the  first  woman  to  hold  the  post  of  Solicitor  General  of  the  Com- 
monwealth of  Puerto  Rico. 

Ms.  Rodriguez  also  enjoys  the  support  of  the  Puerto  Rico  Bar  Association  and  she 
was  found  to  be  qualified  for  this  federal  judgeship  by  the  American  Bar  Association 
Standing  Committee  on  the  Federal  Judiciary. 

Several  sitting  federal  judges  in  the  district  court  for  the  district  of  Puerto  Rico 
are  on  record  in  support  of  her  nomination. 

This  nomination  makes  many  people  proud.  I  know  that  it  is  of  particular  pride 
to  the  women  of  Puerto  Rico. 

I  am  confident  Ms.  Rodriguez'  performance  on  the  federal  bench  will  make  this 
Committee  proud  of  the  manner  in  which  its  duties  to  the  American  people  have 
been  discharged. 

In  this  moment  when  the  people  of  Puerto  Rico  do  battle  with  the  ravages  of  a 
natural  disaster,  I  assure  you  tnat  a  positive  recommendation  by  this  Committee 
on  Ms.  Rodriguez'  nomination  will  be  received  as  welcome  news  on  the  island. 

Thank  you. 


381 


w 


Birth: 

Legal  Residence: 

Marital  Status: 

Education: 


Bar: 

Military  Service: 


Experience : 


SUBMISSIONS  FOR  THE  RECORD 


DAVID  O.  CARTER 


March  18,  1944 

California 

Married 

1962  -  1967 

1969  -  1972 

1972 

1967  -  1969 

1972  -  1981 


1982  -  1982 


present 


Providence,  Rhode  Island 


Mary  Ellen  Carter 
6  children 

UCLA 

B.A.  degree,  cum  laude 

UCLA 

J.D.  degree 

California 

United  Statea  Marine  Corps 
First  Lieutenant,  retired 
Wounded,  Vietnam 

Orange  County  District  Atty's  Ofc 

Deputy  District  Attorney 

Sr.  Deputy  DA,  Homicide  (1975-1981) 

Orange  County  Municipal  Court 
Western  Division 
Municipal  Court  Judge 

Orange  County  Municipal  Court 
Eastern  Division 
Municipal  Court  Judge 

Orange  County  Superior  Court 
Superior  Court  Judge 


700  Civic  Center  Drive  West 
Santa  Ana,  California  92702 


To  be  United  Statea  District  Judge  for  the  Central  District  of  California 


3^2 


I.    BIOGRAPHICAL  INFORMATION 
(PUBLIC) 

Full  name  (includa  any  former  names  used.) 

David  Ormon  Carter 

Address:   List  current  place  of  residence  and  office 
address (es) . 

Office  Address:      Superior  Court  -  Orange  County 
700  Civic  Center  Drive  West 
Santa  Ana,  California  92702 

Home  Address:       Laguna  Beach,  California   92651 

Date  and  place  of  birth. 

March  28,  1944 
Providence,  Rhode  Island 

Marital  Status  (include  maiden  name  of  wife,  or  husband's 
name).   List  spouse's  occupation,  employer's  name  and 
business  address (es). 

I  am  married  to  Mary  Ellen  Carter.   Her  maiden  name  was  Mary 
Ellen  Cohee.   She  is  employed  by  Bobrow  Test  Preparation 
Services  located  at  23013  Ventura  Boulevard,  Woodland  Hills, 
California  91364,  as  Assistant  Director. 

Education:   List  each  college  and  law  school  you  have 
attended,  including  dates  of  attendance,  degrees  received, 
and  dates  degrees  were  granted. 

UCLA  1962  -  1967   Bachelor  of  Arts (CumXaude)  ,  March  1967 

UCLA  School    1969  -  1972   Juris  Doctor,  June  1972 
of  Law 

Employment  Record:   List  (by  year)  all  business  or 
professional  corporations,  companies,  firms,  or  other 
enterprises,  partnerships,  institutions  and 
organizations, nonprofit  or  otherwise,  including  firms,  with 
which  you  were  connected  as  an  officer,  director,  partner, 
proprietor,  or  employee  since  graduation  from  college. 

March  1967  -  September  1969 
United  States  Marine  Corp. 
Quantico,  Virginia 
Position:   First  Lieutenant/Viet  Nam 


383 


July  1971  -  September  1971 
Carlsmith,  Carlsmith,  Wichman  and  Case 
1001  Bishop  Street,  Suite  2200 
Honolulu,  Hawaii  96812 
Position:  Law  Clerk 


November  1972  -  September  1981 

Orange  County  District  Attorney  Office 

700  Civic  Center  Drive,  West 

Santa  Ana,  California   92701 

Position:   Assistant  District  Attorney 

September   1981  -  February  1982 
Orange  County  Municipal  Court,  West 
8141  13th  Street 
Westminster,  California   92683 
Position:   Municipal  Court  Judge 

February  1982  -  December  1982 
Orange  County  Municipal  Court,  South 
30143  Crown  Valley  Parkway 
Laguna  Niguel,  California   92677 

December  1982  -  Present 
Orange  County  Superior  Court 
700  Civic  Center  Drive,  West 
Santa  Ana,  California   92701 
Position:   Superior  Court  Judge 

Board  Member,  Brandy's  Friends,  1995-present. 

Board  Member,  Orange  County  On  Track,  1996-present . 

Board  Member,  Kindercamrarina,  1997-present . 

Board  Member,  Children's  Bureau,  1996-present. 

Board  Member,  Community  Services  Program  ("CSP"),  1976-197f 

Board  Member,  "Womens'  Shelter",  1982. 

Board  Member,  Brea  Neuropsychiatric  Hospital,  1986-1990. 

Board  Member,  Juvenile  Connection  Project,  1992-1994. 

Board  Member, "ARC"  and  "SAFE",  1992-1994. 

Board  Member,  Orange  County  Bar  Foundation,  1993-1994. 

2 


384 


Military  Serviea:    Hava  you  had  any  military  service?   If 
so,  give  particulars,  including  the  dates,  branch  of 
service,  rank  or  rate,  serial  number  and  type  of  discharge 
received. 

I  served  in  the  United  States  Marine  Corp.  from  March  1967 
through  August  of  1969.   My  rank  was  that  of  First 
Lieutenant,  serial  number  0103397.   I  was  honorably  and 
medically  retired  from  gun  shot  wounds  received  at  Khe  Sanh 
Vietnam. 

Honors  and  Awards:   List  any  scholarships,  fellowships, 
honorary  degrees,  and  honorary  society  memberships  that  you 
believe  would  be  of  interest  to  the  Contnittee. 

I  was  awarded  an  athletic  scholarship  in  1962  to  the 
University  of  California  Los  Angeles  ("UCLA")  to  participate 
in  track. 

I  graduated  cum  iaude  in  1967. 

I  was  UCLA's  representative  in* the  Rhodes  Scholar 
Competition  in  1967, 

MILITARY  SERVICE 

U.S.  Marine  Corps,  March  1967  -  September  1969. 

Honor  Man  of  Platoon,  Officer  Candidate  School. 

Platoon  Commander  during  the  Tet  Offensive  at  Khe  Sanh. 

Awarded  Bronze  Star 

Awarded  Purple  Heart 

Recuperated  at  Oakland  Naval  Hospital  for  one  year  for 
gunshot  wounds  received  in  combat. 

Commendation  for  coordinating  patient  care  for  other  wounded 
combat  veterans. 

I  have  been  the  honored  guest  speaker  at  the  Tet  ceremonies 
in  the  Vietneimese  community  and  numerous  military  and 
Memorial  Day  functions. 


385 


COMMUNITY  SERVICE  AWARDS  AND  HONORS 

Orange  County  District  Attorney's  Office  Recognition  of 
Outstanding  Dedication  and  Achievement,  1981. 

Book  of  Golden  Deeds,  Exchange  Club  of  Saddleback  Valley 
for  community  service,  1982. 

Laguna  Niguel  Chamber  of  Commerce  award  for  outstanding 
community  service,  1985. 

Book  of  Golden  Deeds  Award,  Exchange  Club  of  Saddleback 
Valley  for  outstanding  community  service,  1985. 

Orange  County  Register  Newspaper  Award  (Angel's  Award)  for 
work  with  youth,  1988. 

Girls  Clubs  of  North  Orange  County  "for  dedication  to  the 
youth  of  our  community",  1988. 

California  Psychological  Association's  "Outstanding  Non- 
Psychologist  Award"  for  work  with  juveniles,  1988. 

Liberty  Bell  Award  from  Orange  County  Bar  Association  for 
"exceptional  contribution  to  education  in  providing  access 
to  justice  for  juveniles",  1989. 

Judge  of  the  Year  by  the  Narcotics  Officers  Association: 
1988  and  1990. 

City  of  Santa  Ana,  Volunteer  Award  for  Central  and  South 
Orange  County,  1990. 

Patriot  of  the  Year  for  the  Annual  Patriots  Day  Parade  in 
Laguna  Beach,  1991. 

National  Security  Forum  at  the  Air  War  College  in 
Montgomery,  Alabama  at  invitation  of  the  Department  of 
Defense.   This  invitation  is  extended  to  approximately  fifty 
civilians  seeking  their  input  regarding  the  military  of  the 
future,  1992. 

Police  Reserve  Officers  Award  for  exceptional  support,  Santa 
Ana,  1995. 

Certificates  of  recognition  and  merit  from  the  Orange  County 
Board  of  Supervisors  and  almost  every  city  in  Orange  County 
for  service. 


386 


Distinguished  Professor's  Award,  University  of  California, 
Irvine,  1996,  1997,  1998. 

Awards  Presenter  at  the  1998  Orange  County  Press  Awards 
Banquet . 

Mayor's  Exceptional  Citizen's  Award,  1998, 
Santa  Ana,  California. 

Featured  speaker  1998  Government  Leader's  Prayer  Breakfast 
for  Orange  County. 

9.  Bar  Associations:   List  all  bar  associations,  legal  or 
judicial-related  committees  or  conferences  of  which  you  are 
or  have  been  a  member  and  give  the  titles  and  dates  of  any 
offices  which  you  have  held  in  such  groups. 

Board  of  Directors,  Orange  County  Bar  Association,  1978(7). 

Law  Day  Chairman,  Orange  County  Bar  Association, 
1984  and  1985. 

Faculty  member,  California  Judges  College,  1984-1985,  1987- 
1988,  1991-1994. 

Faculty  member,  Mid-Career  Judges  College,  1983-1989,  1991- 
1997. 

Planning  Committee,  Mid-Career  Judges  College,  1985-1986 

Planning  Committee,  California  Judges  College,  1991-1994. 

Faculty  member.  Judicial  Criminal  Law  Institute,  1989,  1990, 
1993,  and  1997. 

Board  of  Directors,  Orange  County  Bar  Foundation,  1994. 

Instructor  Continuing  Education  of  the  BarC'CEB"),  1994- 
1995. 

Select  Committee,  California  Supreme  Court,  1996-1997, 
expedite  the  certification  of  death  penalty  cases  in 
California. 

10.  Other  Memberships:   List  all  organizations  to  which  you 
belong  that  are  active  in  lobbying  before  public  bodies. 
Please  list  all  other  organizations  to  which  you  belong. 


387 


The  following  organizations  are  active  in  lobbying  before 
public  bodies: 

Board  Member,  Brandy's  Friends,  1995-present . 

Board  Member,  Orange  County  On  Track,  1996-present . 

Board  Member,  Kindercamrarina,  1997-present . 

Board  Member,  Children's  Bureau,  1996-present. 

Founding  Member,  Schoolpower,  1981-1985. 

Board  Member,  Community  Services  Program  ("CSP"),  1976-197f 

Board  Member,  "Womens'  Shelter",  1982. 

Board  Member,  Brea  Neuropsychiatric  Hospital,  1986-1990. 

Board  Member,  Juvenile  Connection  Project,  1992-1994. 

Board  Member, "ARC"  and  "SAFE",  1992-1994. 

Board  Member,  Orange  County  Bar  Foundation,  1993-1994. 

Member  Veterans  of  Foreign  Wars (commencing  1968). 

Member  of  the  American  Legion  (commencing  1968,  continuous 
since  1989) . 

Lifetime  Member,  Military  Order  of  the  Purple 
Heart (commencing  1985). 

Lifetime  Member,  Disabled  American  Veterans  (commencing 
1985) . 

Charter  Member,  California  District  Attorney's  Association, 
1974, 

The  following  organizations  to  my  knowledge  do  not  lobby 
before  piiblic  bodies: 

Member  of  the  1st  Battalion  9th  Marine  Network,  Inc.,  1993- 
present . 

Member,  Survivors  of  Khe  Sanh,  1993-present . 


388 


11.  Court  Admission:     List  all  courts  in  which  you  have  been 
admitted  to  practice,  with  dates  of  admission  and  lapses  if 
any,  such  memberships  lapsed.   Please  explain  the  reason  for 
any  lapse  of  membership.   Give  the  same  information  for 
administrative  bodies  which  require  special  admission  to 
practice. 

California  Bar:   December  14,  1972 

Federal  Courts:   Central  District  of  California 
December  14,  1972 

Upon  my  appointment  as  Judge  in  September  of  1981,  my 
California  and  Federal  admission  to  practice  as  an  attorney 
became  inactive. 

12.  Published  Writings:  List  the  titles,  publishers,  and  dates 
of  books,  articles,  reports,  or  other  published  material  you 
have  written  or  edited.   Please  supply  one  copy  of  all 
published  material  not  readily  available  to  the  Committee. 
Also,  please  supply  a  copy  of  all  speeches  by  you  on  issues 
involving  constitutional  law  or  legal  p>olicy.   If  there  were 
press  reports  about  the  speech,  and  they  are  readily 
available  to  you,  please  supply  them. 

Included  are  the  following  articles  which  reflect  my  work. 

1.  Testimony  before  the  United  States  House  Committee  on 
the  Judiciary.   Subcommittee  on  Immigration,  Refugees,  and 
International  Law.   Hearings  on  Criminal  Aliens. 
November  1,  1989. 

2.  Editorial, "COURTS,  INS  COULD  KNOCK-OUT  IMPORTANT 
PLAYERS  IN  DRUG  TRADE,"  Los  Angeles  Times.  November  27, 
1989. 

3.  Speech  before  the  Supreme  Court  of  Rio  de  Janeiro  and 
Brazilian  federal  prosecutors,  Brazil  1993. 

My  speeches  on  issues  involving  law  or  legal  policy  are 
impromptu.   I  have  included  all  available  newspaper 
articles  referring  to  the  content  of  speeches  and 
interviews  I  have  given. 

(See  Exhibit  "A") 


389 


13.  Health:    What  is  the  present  state  of  your  health?   List 
the  date  of  your  last  physical  examination. 

Excellent.   My  last  physical  examination  was  on  April  28, 
1998. 

14.  Judicial  Office:     State  (chronologically)  any  judicial 
offices  you  have  held,  whether  such  position  was  elected  or 
appointed,  and  a  description  of  the  jurisdiction  of  each 
such  court. 

September  8,  1981-February  2,  1982. 

Judge,  Municipal  Court, 

West  Orange  County,  California  Judicial  District 

Appointed 

I  presided  over  misdemeanor  criminal  trials,  civil 

cases  where  the  amount  in  controversy  was  less 

than  $25,000.   I  heard  Small  Claims  actions  and 

felony  preliminary  hearings. 

February  3,  1982-December  21,  1982. 

Judge  Municipal  Court 

South  Orange  County, '  California  Judicial  District 

Appointed;  Subsequently  elected  to  same  post  in 

1982.  Explanation:   Although  originally  appointed 

to  the  West  Judicial  District  on  September  8, 

1981,  I  was  then  appointed  to  the  South  Judicia- 
District  only  a  few  months  later,  on  February  3, 

1982.  Pursuant  to  California  law,  this  required 
me  to  stand  for  election  in  1982  to  retain  this 
judicial  office,  which  I  held  until  my  appointment 
to  Superior  Court  on  December  21,  1982. 

I  presided  over  misdemeanor  criminal  trials  and 
civil  cases  where  the  amount  in  controversy  was 
less  than  $25,000.   I  heard  small  claims  actions 
and  felony  preliminary  hearings. 

December  21,  1982-present. 
Judge  Superior  Court 
Orange  County,  California 

Since  1982,  I  have  been  a  Superior  Court  Judge 
hearing  complex  criminal  cases.   I  was  original! 
appointed  to  the  Superior  Court  in  1982,  but  then 
stood  for  election  in  1984,  1988,  1992,  and  1996 
Each  time  I  was  unopposed. 

Over  this  period  of  time,  I  have  served  three 
terms  as  Supervising  Judge  of  the  Criminal  Courtis 


390 


of  Orange  County  and  one  term  as  Assistant 
Supervising  Judge,  positions  which  significantly 
increased  my  caseload  and  expanded  my 
responsibilities.   Please  see  my  answer  to  Q17a.3. 
and  Q19,  for  more  details  on  my  tenures  as 
Supervising  Judge. 

15.   Citations:   If  you  are  or  have  been  a  judge,  provide: 

(1)  citations  for  the  ten  most  significant  opinions  you  have 
written;  (2)  a  short  summary  of  and  citations  for  all 
appellate  opinions  where  your  decisions  were  reversed  or 
where  your  judgment  was  affirmed  with  significant  criticism 
of  your  substantive  or  procedural  rulings;  and  (3)  citations 
for  significant  opinions  on  federal  or  state  constitutional 
issues,  together  with  the  citation  to  appellate  court 
rulings  on  such  opinions.   If  any  of  the  opinions  listed 
were  not  officially  reported,  please  provide  copies  of  the 
opinions . 


(1)  Citations  for  the  ten  most  significant  opinions  you  have 
written: 

Our  superior  courts  do  not  usually  write  opinions.   In 
California,  almost  all  rulings  are  made  orally  and  transcribed  by 
a  court  reporter.   While  I  am  including  the  one  significant 
opinion  I  have  written,  cases  2-10  represent  significant  cases 
over  which  I  have  presided. 

1.  In  Re  Request  for  Transcripts  of  "Phase  Three"  Grand  Jury 
Proceedings;  Merrill  Lynch,  Et  Al.,  97  Daily  Journal.  DAR 
10765  (8/21/97);  Superior  Court  Case  No.  M-8102 

Petitioners: 

DAVIS,  WRIGHT,  TREMAINE,  LLP 

Kelli  L.  Sager 

Karen  L.  Frederickson 

Steven  J.  Westman 

1000  Wilshire  Boulevard,  Suite  600 

Los  Angeles,  California   90017 

telephone:  (213)  633-6800 

Attorneys  for  Media  Entities: 
LOS  ANGELES  DAILY  JOURNAL 
LONG  BEACH  PRESS  TELEGRAM 
BLOOMBERG  NEWS 
THE  ASSOCIATED  PRESS 


391 


FREEDOM  COMMUNICATIONS,  INC. 
(dba  THE  ORANGE  COUNTY  REGISTER) 
DOW  JONES  &  CO.,  INC. 
SOCIETY  OF  PROFESSIONAL  JOURNALISTS 
CALIFORNIA  FIRST  AMENDMENT  COALITION 
GREATER  LOS  ANGELES  CHAPTER  OF 
THE  SOCIETY  OF  PROFESSIONAL  JOURNALISTS 
THE  ORANGE  COUNTY  PRESS  CLUB 

Karlene  W.  Goller 

Attorney  for  THE  LOS  ANGELES  TIMES 

Times  Mirror  Square 

Los  Angeles,  California   90053 

telephone:  (213)  237-3760 

James  E.  Grossberg 

Senior  Legal  Counsel 

THE  ORANGE  COUNTY  REGISTER 

David  W.  Weichert 
Attorney  for  Robert  L.  Citron 
650  Town  Center  Drive,  Suite  1900 
Costa  Mesa,  California   92626 
telephone:  (714)  755-8075 

HENNIGAN,  MERCER  &  BENNETT 

J.  Michael  Hennigan 

James  W,  Mercer 

Lauren  A.  Smith 

Nichole  M.  Aduden 

Attorneys  for  Thomas  W.  Hayes 

Representative  appointed  pursuant  to  the 

Second  Amended  Plan  of  Adjustment 

601  S.  Figueroa  Street,  Suite  3300 

Los  Angeles,  California   90017 

telephone:  (213)  694-1200 

FOLGER,  LEVIN  &  KAHN  LLP 

Michael  A.  Kahn 

Gregory  D.  Call 

Karen  J.  Petrulakis 

Nancy  Yaffe 

Attorneys  for: 

City  of  Atascadero 

City  of  Buena  Park 

The  Community  Redevelopment  Agency  of  the  City  of  Buena 

Park 

City  of  Claremont 

City  of  Milpitas 

10 


392 


City  of  Montebello 

Community  Redevelopment  Agency 

of  The  City  of  Montebello 

City  of  Mountain  View 

City  of  Santa  Barbara 

The  Redevelopment  Agency  of  the  City  of  Santa  Barbara 

City  of  Yorba  Linda 

Yorba  Linda  Redevelopment  Agency 

Santiago  County  Water  District 

Yorba  Linda  Water  District 

Embarcadero  Center  West 
275  Battery  Street,  23rd  Floor 
San  Francisco,  California   94111 
telephone:  (415)  986-2800 


Respondents ; 


Dan  Lungren 

Attorney  General  State  of  California 

1300  I 

Sacramento,  California 

telephone:  (916)  445-9555 

Gary  W.  Schons 

Senior  Assistant  Attorney  General 

110  West  "A"  Street,  Suite  1100 

P.O.  Box  85266 

San  Diego,  California   92186-5266 

telephone:  (619)  645-2213 

Wallace  J.  Wade 

Mark  Sevigny 

Attorneys  for  Michael  Capizzi 

Orange  County  District  Attorney 

P.O.  Box  808 

Santa  Ana,  California   92702 

telephone:  (714)  834-3600 

FRIED,  FRANK,  HARRIS,  SHRIVER  &  JACOBSON 

Audrey  Strauss 

Mark  J.  Stein 

Attorneys  for  Merrill  Lynch  Grand  Jury  Witnesses 

John  Does  1-28 

One  New  York  Plaza 

New  York,  New  York   10004 

telephone:  (212)  859-8000 

BROBECK,  PHLEGER  &  HARRISON  LLP 

11 


393 


Gregg  A.  Farley 

Attorneys  for  Merrill  Lynch  Grand  Jury  Witness, 

Jane  Doe 

550  S.  Hope  Street 

Los  Angeles,  California   90071-2604 

telephone:  (213)  489-4060 

MORVILLO,  ABRAMOWITZ,  GRAND, 

lASON  &  SILBERBERG,  P.C. 

Robert  Morvillo 

Attorneys  for  Merrill  Lynch  &  Company 

565  Fifth  Avenue 

New  York,  New  York   10017 

telephone:  (212)  856-9600 

Paul  S.  Meyer 

Attorney  for  Merrill  Lynch  &  Company 
695  Town  Center  Drive,  Suite  1450 
Costa  Mesa,  California   92626 
telephone:   (714)  754-6500 

McCAMBRIDGE,  DEIXLER  &  MARMARO 

Richard  Marmaro 

Attorneys  for  John  Doe  2 

2029  Century  .Park  East,  Suite  2700 

Los  Angeles,  California   90067 

telephone:   (310)  788-5800 


Description: 


In  December,  1994,  Orange  County  California  suffered 
the  loss  of  over  $1.67  billion  of  public  monies.   This 
is  the  largest  municipal  bankruptcy  in  our  nation's 
history.   Financial  institutions  and  municipalities 
felt  the  shock  waves  of  this  financial  catastrophe. 
Claims  and  counter  claims  arose  between  the  County  of 
Orange  and  Merrill  Lynch  regarding  fault. 

The  District  Attorney  presented  evidence  to  the  Orange 
County  Grand  Jury  for  almost  one  and  one-half  years 
regarding  alleged  criminal  conduct  by  Merrill  Lynch. 
On  the  eve  of  the  Grand  Jury's  deliberation,  just  prior 
to  the  discharge  of  the  1996-1997  Grand  Jury's  extended 
term,  and  after  almost  one  and  one-half  years  of 
hearings  relating  to  alleged  criminal  conduct  by 
Merrill  Lynch,  the  criminal  proceedings  were 
terminated.   The  District  Attorney  informed  the  Grand 
Jury  that  there  was  a  "pre-indictment  settlement." 
Merrill  Lynch  agreed  to  pay  $3  million  as  reimbursement 

12 


394 


for  the  District  Attorney's  investigation  cost  and  $27 
million  to  the  County  of  Orange. 

The  media  filed  motions  requesting  release  of 
transcripts  and  documents  from  Phase  III  of  the  Grand 
Jury's  investigation  of  the  Orange  County  Bankruptcy. 
The  media  include:  The   Los   Angeles    Times,    The   Daily 
Journal,    Bloomberg  News,    The  Associated  Press,    Freedom 
Communications ,    Inc.     (dba  The   Orange   County  Register)  , 
Dow  Jones   &   Company,    Inc.,    Society  of  Professional 
Journalists,    California   First  Amendment   Coalition,    The 
Greater  Los  Angeles   Chapter  of  the  Society  of 
Professional    Journalists,    and  the  Orange  County  Press 
Club.      Many  other  parties  joined  the  request  for  the 
release  of  this  information.   Merrill  Lynch  and  the 
Orange  County  District  Attorney  opposed  the  release  of 
these  pre-indictment  transcripts. 

This  was  a  unique  and  precedent  setting  case.   As 
Supervising  Judge  of  the  Criminal  Courts  and  the  Orange 
County  Grand  Jury,  I  ordered  the  release  after  a 
hearing,  of  the  transcripts  and  documents  of  the 
criminal  investigation  of  Merrill  Lynch.   I  held  there 
was  a  compelling  and  fundamental  right  on  behalf  of  all 
citizens  to  have  access  to  vital  information  relating 
to  the  loss  of  over  1.67  billion  dollars 
($1,670,000,000.00)  of  the  public's  monies.   I  found 
under  the  unique  circumstances  of  this  case  that  the 
public's  right  to  information  under  the  First  Amendment 
and  the  California  Constitution  substantially  outweighs 
the  general  policy  regarding  secrecy  of  Grand  Jury 
proceedings.   This  is  especially  true  when  the  victims 
are  the  very  citizens  who  have  suffered  severe  losses 
that  affect  their  well  being. 

People   V.    Edwin  Winslow  Bennett    (1998)  17  Cal.4th,  373; 
Supreme  Court  No.  S052788 
Court  of  Appeal  Number  4/3  G012404 
Orange  County 

(Superior  Ct.  Nos.  C-77304,  C-86692/M-7308) 
Court  of  Appeal  Number  4/3  G017490 

Prosecution:    Greg  Prickett 

Former  Orange  County  Deputy  District  Attorney 
Presently,  Municipal  Court  Judge 
North  Judicial  District 
1275  No.  Berkeley  Avenue 
Fullerton,  California   92632-0500 
telephone:  (714)  773-4555 

13 


395 


Robert  Molko 

Orange  County  District  Attorney's  Office 

700  Civic  Center  Drive  West 

Santa  Ana,  California   92701 

telephone:  (714)  834-3734 

Defense:       William  Morrissey, 

1401  N.  Tustin  Avenue,  #230 
Santa  Ana,  California 
telephone:  (714)547-3122 

Description:    The  defendant  killed  the  business  partner  of 
his  lover.   The  motive  was  to  gain  control  of 
a  business  co-owned  by  the  defendant's 
girlfriend.   The  defendant  was  convicted  of 
First  Degree  Murder  based  on  his  lying-in- 
wait. 

After  his  conviction,  the  defendant 
simultaneously  appealed  and  filed  a  Writ  of 
Habeas  Corpus,  asserting  that  his  attorneys 
were  incompetent  for  not  arguing  at  the 
suppression  motion  that  the  police  had 
unlawfully  seized  the  room  when  they  told  the 
motel  manager  not  to  let  anyone  enter  the 
room  without  law  enforcement  permission,  and 
the  later  seizure  of  the  gun  by  the  police 
under  authority  of  a  search  warrant  was  the 
"fruit"  of  this  illegal  seizure.   The  Court 
of  Appeal  issued  an  order  to  show  cause 
returnable  before  the  Superior  Court  and  held 
the  appeal  in  abeyance  pending  the  outcome  of 
this  order  to  show  cause. 

I  was  the  trial  judge  and  subsequently 
considered  the  Habeas  Corpus  Petition.   I 
concluded  that  even  if  petitioner's  trial 
counsel  had  moved  to  suppress  the  rifle  on 
the  basis  that  the  police  illegally  seized 
petitioner's  room,  the  motion  would  have  been 
denied  on  the  ground  of  "inevitable 
discovery. " 

The  petitioner  filed  a  second  Habeas  Corpus 
Petition  in  the  Court  of  Appeal,  which 
consolidated  this  Petition  with  the  direct 
appeal  and  held  that  the  police  officers' 
unauthorized  entry  constituted  an  unlawful 
seizure  of  the  room  and  that  petitioner's 

14 


396 


trial  attorneys  were  incompetent  for  not 
moving  to  suppress  the  rifle  found  in  the 
room  as  the  "tainted  fruit"  of  this  illegal 
seizure.  The  Court  of  Appeal  set  aside  the 
conviction. 

The  California  Supreme  Court  reversed  the 
judgment  of  the  District  Court  of  Appeal  and 
in  affirming  my  decision,  greatly  expanded 
the  ability  of  law  enforcement  to  seize  and 
search  places  without  a  search  warrant,  based 
on  "inevitable  discovery"  and  the  independent 
source  doctrine. 

3.    People   V.    Dung  Van  Mai    (1994)  22  Cal.App.4th,  117 

Court  of  Appeal  Number  G012217 

(Superior  Ct.  No.C-87449) 
Prosecution:    Jeffrey  Robinson 

Former  Orange  County  Deputy  District  Attorney 

Presently,  Robinson  &  Robinson 

Dupont  Street,  #530 

Irvine,  California  92714 

telephone:  (714)  752-7007 
Defense:       Matthew  Vallance 

Gale  &  Vallance 

1820  West  Orangewood  Avenue,  #104 

Orange,  California 

telephone:  (714)  634-1414 

Description:    This  case  involved  the  unique  circumstances 
of  the  decedent  being  Icilled  during  the 
perpetration  of  a  felony  and  the  Iciller  was 
someone  other  than  the  decedent's  accomplice. 

Defendant  Mai  and  his  crime  partner,  Mr.  Lau, 
entered  a  fabric  store.   They  pistol  whipped 
the  sixty-two  year  old  female  store  clerk  and 
threatened  to  shoot  the  other  victims  during 
the  robberies.   While  hitting  and  kicking  the 
other  victims,  one  of  the  victims  suddenly 
retrieved  a  weapon  and  shot  and  killed  the 
defendant's  crime  partner,  Mr.  Lau.   Because 
Lau  was  killed  by  one  of  his  victims,  the 
defendant's  culpability  for  murder  was  based 
on  the  "provocative  act  doctrine." 

This  case  dealt  with  the  complicated  theories 
pertaining  to  vicarious  responsibility  of  a 

15 


397 


defendant  who  does  not  have  the  specific 
intent  to  kill  and  is  not  the  killer.   The 
concepts  of  felony  murder,  implied  malice 
aforethought,  and  the  provocative  acts 
doctrine,  were  intertwined  in  this  case.   The 
opinion  upholds  vicarious  liability  for 
unintended  murder  and  redefined  the  jury 
instructions  in  this  complicated  area  of  the 
law. 

People   V.    David  Wayne  Bryan 

Court  of  Appeal  Number  G012125 

(Superior  Ct.  No.  C-86638) 

Unpublished 
Prosecution:    Jan  Sturla 

Orange  County  District  Attorney's  Office 

700-  Civic  Center  Drive  West 

Santa  Ana,  California  92701 

telephone:  (714)  834-3600 
Defense:       Denise  Gragg 

Orange  County  Public  Defender's  Office 

901  Civic  Center  Drive  West,  #200, 

Santa  Ana,  California  92701 

telephone:  (714)  834-2144 

Leonard  Guitilia 

Orange  County  Public  Defender's  Office 
901  Civic  Center  Drive  West,  #200 
Santa  Ana,  California  92701 
telephone:  (714)  834-2144 

Description:    The  defendant  was  a  police  officer  who  raped 
a  fellow  police  officer.   The  victim  was  the 
only  female  patrol  officer  in  the  department. 
She  was  on  probation  at  work  and  wanted  to  be 
accepted  by  the  men  she  worked  with.   She 
initially  told  no-one  about  the  rape,  feeling 
it  was  imperative  that  she  trust  her  fellow 
officers  to  respond  whenever  she  called  for 
"backup."   Months  later,  she  confided  to  her 
girlfriend  who  worked  for  a  neighboring 
police  department. 

Six  months  later,  she  heard  that  another 
woman  had  accused  the  defendant  of  raping 
her.   The  defendant  met  this  victim  on  his 
patrol  route.   She  was  employed  as  a  clerk  at 
a  convenience  store.   One  evening,  the 


16 


398 


defendant  phoned  her  and  then  presented 
himself  at  her  apartment.   He  forced  himself 
upon  her  and  raped  her. 

The  chief  of  the  police  department  placed  the 
defendant  on  paid  administrative  leave.   The 
department  administration  was  "standing 
behind"  the  defendant. 

Investigators  from  the  District  Attorney's 
Office  spoke  to  the  female  police  officer  who 
initially  denied  anything  had  happened.   She 
later  specifically  told  investigators  that 
any  sexual  contact  with  Bryan  had  been 
consensual.   Later,  after  finally  admitting 
she  was  raped,  she  explained  that  she  was 
fearful  that  she  would  lose  her  job  if  she 
was  truthful. 

When  the  defendant  was  charged  with  rape, 
other  victims  came  forward  because  of  the 
public  notoriety  of  this  case.   One  victim 
successfully  fought  off  the  defendant's 
advances  after  a  date.   She  was  a  weight 
lifter  and  body  builder.   Another  female 
patrol  officer  was  approached  by  the 
defendant  and  when  his  sexual  advances  were 
spurned,  he  stated  "You  don't  know  me  very 
well."   "When  I  want  something,  I  get  it." 

This  case  involved  the  admission  issues  of 
whether  to  admit  uncharged  acts  of  conduct  to 
prove  intent  and  the  cross-admissibility  of 
all  felony  charges  which  I  allowed  to  be 
admissible. 

Mr.  Bryan  was  convicted  of  rape  and  sentenced 
to  state  prison.   Because  of  the  notoriety  of 
this  case,  this  police  department  ceased  to 
exist.  The  Orange  County  Sheriff's  Department 
took  over  all  policing  responsibilities. 


5.    People  V.    Ronald  Allen 

Court  of  Appeal  Number  G017786 
(Superior  Ct.  No.  93CF2021) 


17 


399 


Unpublished 
Prosecution:    Robert  Molko 

Orange  County  District  Attorney's  Office 
700  Civic  Center  Drive  West 

Santa  Ana,  California  92701 
telephone:  (714)  834-3600 
Defense:       Michael  Giannini 

Orange  County  Public  Defender's  Office 
901  Civic  Center  Drive  West,  #200 
Santa  Ana,  California  92701 
telephone:  (714)  834-2144 

Description:    This  was  a  highly  publicized  case  throughout 
Southern  California.   The  Minzie  family,  Mr. 
and  Mrs.  Minzie,  their  daughter  Karie,  and 
two  of  Karie 's  friends  were  in  a  van 
returning  from  a  "Bobby  Socks  Softball 
Tournament"  in  which  Karie  was  a  participant. 
Their  van  was  struck  head  on  by  Dr.  Allen's 
vehicle.   Noreen  and  Mark  Minzie  were  killed 
and  Karie  suffered  massive  head  injuries 
recjuiring  the  removal  of  part  of  her  skull. 
The  two  other  girls  were  severely  injured. 
Dr.  Allen  was  intoxicated  at  the  time  of  the 
crash. 

Dr.  Allen  was  a  brilliant  specialist  who  had 
devoted  his  career  to  the  treatment  of  those 
afflicted  with  AIDS.  He  had  learned  earlier 
the  same  day  that  his  father  had  died. 

This  case  presented  difficult  evidentiary 
issues  on  the  admission  of  uncharged 
incidences  of  drinking  and  driving,  and  the 
admission  of  a  pending  driving  under  the 
influence  charge.   Other  issues  involved  jury 
misconduct  and  the  admissibility  of  the 
defendant's  statements. 

Dr.  Allen  was  convicted  of  Second  Degree 
Murder  and  was  sentenced  fifteen  years  to 
life  in  state  prison.   The  sentencing  hearing 
provided  a  lengthy  forum  for  the  defendant's 
family  and  the  victims'  family  to  speak  about 
the  impact  of  this  tragedy  on  their  lives  and 
was  somewhat  precedent  setting. 


18 


400 


People   V.    Greenwood    (1986)  182  Cal.App.3cl  729;  227  Cal . 

Rptr.539  [June  1986] 

(Superior  Ct.  No.  C-55040) 

California    v.    Greenwood,    486  U.S. 35,  100  L  Ed2nd  30,  108  S. 

Ct.l625 

Prosecution:    William  Bedsworth 

Former  Orange  County  Deputy  District 

Attorney. 

Presently  Justice  William  W.  Bedsworth, 

Associate  Justice  4th  Appellate  District, 

Division  Three. 

925  N.  Spurgeon  Street 

Santa  Ana,  California  92701-3700 

telephone:  (714)  558-6777 

Michael  J.  Pear 

Orange  County  District  Attorney's  Office 
700  Civic  Center  Drive  West 
Santa  Ana,  California 
telephone:  (714)  834-3600 
Defense:       Michael  Ian  Garey 

•714  N.  Spurgeon  Street 
Santa  Ana,  California  92701-3722 
telephone:  (714)  834-0950 
Richard  Aronson 

Formerly  an  Assistant  Public  Defender. 
Presently  Judge  of  the  Superior  Court,  Orange 
County,  California. 
Orange  County  Superior  Court 
700  Civic  Center  Drive  West 
Santa  Ana,  California   92701 
telephone:  (714)  834-3734 

Description:    In  a  drug  investigation,  the  police  had  the 
trash  truck  pick  up  defendant's  trash  which 
was  located  on  the  sidewalk.   The  trashman 
was  instructed  to  keep  the  defendant's  trash 
separated  until  the  police  could  take 
possession.   At  trial,  a  motion  to  suppress 
was  brought,  arguing  that  the  defendant  had  a 
right  to  privacy  of  his  trash.   I  believed 
that  by  placing  the  trash  on  the  public 
sidewalk,  the  defendant  had  waived  any 
expectation  of  privacy.   Existing  California 
law  was  contrary  and  held  in  People   v.    Krivda 
(1971)  5  Cal. 3d  357  (96  Cal.Rptr.62,  486  P. 2d 
1262,  that  such  warrantless  trash  searches 
were  illegal.    I  followed  the  existing  law 


19 


401 


and  suppressed  the  evidence, 
appeal  affirmed. 


The  court  of 


The  matter  went  to  the  United  States  Supreme 
Court  in  California    v.    Greenwood,    486,  U.S. 
35.   The  Supreme  Court  reversed,  holding  that 
the  Fourth  Amendment  does  not  prohibit  the 
warrantless  search  and  seizure  of  garbage 
left  for  collection  outside  the  curtilage  of 
a  home . 

1 .        Bearing  v.    City  of  Costa  Mesa 

Superior  Court  Case  No.  46-26-10 
Plaintiff: 

Bruce  Lee  Schecter 

505  So,  Main  Street,  12th  Floor 

Orange,  California   92856 

telephone:  (714)  558-9119 
Defense  Counsel: 

Donald  H.  Zell 

3  Hutton  Center  Drive,  #870 

Santa  Ana,  California  92707-5767 

telephone:  (714)  662-1136 

Description:   The  plaintiffs  were  the  parents  of  two 
teenagers  who  were  Icilled  in  a  traffic 
collision  that  occurred  during  the  course  of 
a  high-speed  pursuit  of  a  stolen  vehicle  by 
officers  of  the  Costa  Mesa  Police  Department. 

The  collision  occurred  when  the  suspect's 
vehicle  ran  a  red  light  and  struck  a  vehicle 
carrying  the  two  teenagers. 

The  lawsuit  involved  several  legal  issues, 
one  of  which  was  the  application  of 
governmental  immunities  pursuant  to  the 
California  Government  Code  and  issues 
regarding  negligence  on  the  part  of  the  City. 
Another  issue  was  the  alleged  failure  on  the 
part  of  the  City  to  adopt  appropriate  pursuit 
procedures  and/or  the  officer's  failure  to 
follow  the  procedures  which  had  been  adopted. 

8.    Kaweah,    Inc.    v.  Anjac  Plastics,    Et  Al., 

Court  of  ;^peal  Number  G001306 


20 


Plaintiff: 


402 


(Superior  Ct.  Nos.  31-16-67 
31-50-56) 

Phra  Blakely 

Attorney  for  Plaintiff  Leo  D'Andrea 
535  Anton  Boulevard,  Suite  800 
Costa  Mesa,  California   92626 
telephone:   (714)  556-0800 


Defense  Counsel: 

Arnold  Stone 

8752  Reed  Drive,  Suite  3 

Emerald  Isle,  North  Carolina   25894 

telephone:  (252)  354-5515 

Michelle  Reinglass 

23161  Mill  Creelc,  Suite  170 

Laguna  Hills,  California   92653-1649 

telephone:  (714)  587-0460 

Terry  Moshenko 

471  Von  Karman  Avenue,  Suite  210 
Newport  Beach,  California  92660 
telephone:  (714)  225-1444 

John  Doody 

471  Von  Karman  Avenue,  Suite  210 
Newport  Beach,  California  92660 
telephone:  (714)  225-1444 

Sam  Winnikof  (deceased) 

Description:    The  putative  purchaser  of  a  plastics 

manufacturing  company  obtained  control  of  the 
firm  without  paying  the  former  owners  or  the 
listing  broker. 

Leo  D'Andrea,  the  owner  of  Parlay 
Corporation,  listed  his  company  with  Kawaeh, 
a  business  broker  for  sale  of  his  plastics 
manufacturing  firm.  Anjacs  Plastics,  whose 
owner  was  Herbert  Korholz,  responded  to  the 
advertisement  as  a  perspective  buyer.   During 
preliminary  discussions,  D'Andrea  revealed 
the  firm's  principal  creditor  was  charging 
more  than  fifteen  percent  interest.   Korholz, 
using  funds  belonging  to  his  minor  daughter, 
Laurel,  made  loans  to  Parlay  Corporation 

21 


408 


which  D'Andrea  personally  guaranteed  by 
signing  promissory  notes  for  repayment  of  the 
debts.   Within  months,  Laurel  Korholz  called 
the  loans  and  exercised  her  option  for  Parlay 
stock.   Acting  on  her  behalf,  Anjac  Plastics 
ousted  D'Andrea. 

Litigation  inevitably  followed  and  involved 
no  fewer  than  eleven  parties. 

I  consolidated  all  litigation.   D'Andrea 
recovered  a  judgment  for  general  and  punitive 
damages  against  Anjac  Plastics  and  Herbert 
Korholz . 

After  trial,  it  was  shown  that  D'Andrea  had  a 
conversation  with  an  alternate  juror  in  the 
hallway,  which  was  overheard  by  three  jurors 
who  decided  the  case  wherein  D'Andrea  falsely 
stated  that  he  suffered  from  throat  cancer. 
The  court  and  counsel  were  unaware  of  this 
"cancer  conversation"  until  the  motion  for  a 
new  trial.   I  ordered  a  new  trial  based  on 
jury  tampering. 

People   V.    Jonathan  D'Arcy 

Superior  Court  Number  93ZF0132 
Prosecution:    Robert  Molko 

Orange  County  District  Attorney's  Office 

700  Civic  Center  Drive  West 

Santa  Ana,  California   92701 

telephone:  (714)  834-3734 
Defense:       Edward  Hall 

611  Civic  Center  Drive  West,  #200 

Santa  Ana,  California   92701-4021 

telephone:  (714)  972-9293 

Charles  Spagnola 

12453  Lewis  Street,  #101 

Garden  Grove,  California   92640-0240 

telephone:  (714)  740-0240 

George  Peters 

200  W.  Santa  Ana  Boulevard,  #990 
Santa  Ana,  California   92701-4134 
telephone:  (714)  835-0400 


22 


Description: 


404 


While  this  case  was  assigned  for  trial  to 
another  judge,  as  the  Supervising  Judge,  I 
was  called  on  during  the  course  of  the  trial 
to  resolve  a  major  legal  issue. 

Jonathan  D'Arcy  was  charged  with  torture, 
mayhem,  and  murder  in  connection  with  the 
burning  death  of  a  bookkeeper.   He  doused  the 
bookkeeper  with  gasoline  and  set  her  on  fire. 
She  was  working  at  a  janitorial  company  that 
had  temporarily  employed  the  defendant.   Mr. 
D'Arcy  was  upset  because  he  believed  the 
company  owed  him  a  $150  paycheck.   The  victim 
died  within  hours  from  horrible  burns.   Her 
dying  declaration  identified  D'Arcy  as  the 
person  who  had  poured  gasoline  on  her  face 
and  body. 

Mr.  D'Arcy  delayed  the  trial  numerous  times 
by  firing  his  attorneys,  seeking  to  represent 
himself,  and  repeated  requests  to  be  found 
not  mentally  coftipetent  to  stand  trial. 

During  the  guilt  phase  and  subsequent  death 
penalty  trial,  Mr.  D'Arcy  began  a  hunger 
strike.   His  weight  dropped  from  240  pounds 
to  147  pounds.   Judge  Fitzgerald  became 
concerned  that  the  defendant  might  become 
comatose  and  unable  to  participate  and  make 
rational  decisions  during  the  criminal  trial. 
He  requested  that  I,  as  the  Supervising 
Judge,  address  this  issue. 

After  multiple  and  lengthy  hearings,  and 
repeated  statements  by  Mr.  D'Arcy  that  he 
intended  to  starve  himself  to  death,  I 
ordered  a  doctor  to  continually  examine  Mr. 
D'Arcy.   Mr.  D'Arcy  stated  that  his  decision 
to  die  through  starvation  was  irreversible. 
I  ordered  that  the  defendant  be  force  fed. 

No  California  case  law  dealt  with  a  defendant 
starving  himself  while  awaiting  trial.   This 
is  the  first  case  in  California  history  that 
ordered  the  force  feeding  of  a  defendant. 

I  balanced  a  defendant's  right  to  die  against 
the  State's  interest  to  a  trial.   I  held  that 

23 


405 


D'Arcy  should  not  be  allowed  to  frustrate  the 
legal  system. 

10.  People   V.    Neal   David  Williamson 

Orange  County  Superior  Court  Case  No.  M-8217 
Prosecution:    Lori  Hungerford 

Orange  County  District  Attorney's  Office 

700  Civic  Center  Drive  West 

Santa  Ana,  California  92701 
telephone:  (714)  834-3600 

Defense:       Alan  Crivaro 

Orange  County  Public  Defender's  Office 
901  Civic  Center  Drive  West,  #200 
Santa  Ana,  California   92701 
telephone:  (714)  834-2144 

Description:    The  California  Legislature  enacted  a  "Sexual 
Predator  Law"  to  prevent  the  release  of 
sexually  violent  predators  who,  by 
definition,  are  likely  to  engage  in  further 
sexually  violent  behavior  until,  with 
treatment,  they  no  longer  pose  a  danger  to 
the  health  and  safety  of  others. 

Sexual  predator  laws  had  provoked  conflicting 
court  rulings  in  counties  throughout  this 
state  and  the  United  States.   Washington 
State  in  1990  passed  the  first  law  permitting 
sexual  predators  to  be  detained.   Wisconsin, 
Minnesota,  Kansas,  Arizona,  and  California 
followed  with  similar  statutes. 

I  consolidated  the  sexual  predator  cases  in 
Orange  County. 

I  found  that  the  state  had  a  compelling 
interest  in  protecting  society  from  violent 
sex  offenders  and  providing  treatment  for 
them.   I  held  that  the  predator  law  is 
intended  as  a  civil  commitment  for  treatment 
not  as  a  punitive  measure  that  would  violate 
double  jeopardy  and  ex  post  facto   rights. 


(2)   Short  Summary  of  citations  for  all  appellate  opinions  where 
your  decisions  were  reversed  or  where  your  judgment  was 

24 


406 


affirmed  with  significant  criticism  of  your  substantive  or 
procedural  ruling: 

The  following  is  a  list  of  all  cases  I  was  able  to  locate  m 
which  my  ruling  was  either  reversed  or  criticized.   My 
search  for  such  cases  included  Lexis-Nexis  research,  inquiry 
of  the  Presiding  Judge  of  the  Fourth  District,  Division 
Three,  Court  of  Appeal,  and,  with  the  aid  of  the  Orange 
County  Superior  Court  Clerk's  Office,  a  search  of  unreported 
cases  which  I  could  locate  over  the  last  sixteen  years.   I 
have  compiled  this  list  in  good  faith  and  to  the  best  of  my 
ability,  and  to  the  best  of  my  knowledge,  it  is  complete. 

Overton   v.    Superior  Court 

Court  of  Appeal  Number  G013753  (unpublished  opinion)  and 

(1994)  22  Cal.App.4th  112  (published  opinion) 

This  case  went  to  the  Court  of  Appeal  twice,  on  two  separate 

writs.   Each  time,  the  court  of  appeal  reversed  my  ruling. 

The  first  occurred  in  an  unpublished  opinion;  the  second  was 

published. 

Writ  #1: 

Overton   v.    Superior  Court 

Court  of  Appeal  Number  G013753  (unpublished) 
Superior  Court  No.  C-87988 

Overton  was  charged  with  the  murder  of  his  wife  by  poisoning 
her  with  selenium.   This  was  an  extremely  complex  case,  with 
extensive  expert  testimony  required  of  both  sides.   After 
approximately  three  months  of  trial  and  pretrial,  defense 
counsel  became  ill  with  severe  clinical  depression,  and  was 
unable  to  proceed.   In  addition,  he  sought  to  be  relieved  as 
attorney  of  record  based  on  an  unrelated  conflict  of 
interest  which  had  developed  during  trial.   After  a  two 
month  stipulated  continuance,  I  continued  the  matter  for 
another  six  months,  over  defense  objections,  in  an  attempt 
to  salvage  the  trial,  which  had  already  been  an  extremely 
costly  proceeding.   The  defendant  moved  for  a  mistrial. 
Again,  in  an  attempt  to  avoid  a  retrial  of  this  lengthy  and 
complicated  case,  I  denied  both  the  mistrial  and  trial 
counsel's  request  to  be  relieved.   Overton  sought  relief  in 
the  Court  of  Appeal;  ultimately,  the  Court  of  Appeal  ordered 
a  mistrial  and  ordered  trial  counsel  to  be  relieved. 

Writ  #2 

Overton  v.    Superior  Court    (1994)  22  Cal.App.4th  112. 

Superior  Court  Case  No.  C-87988 

After  the  first  writ  was  granted,  the  matter  was  returned  to 

me  for  the  retrial.   Defendant's  new  counsel  filed  a 


25 


407 


peremptory  challenge  against  me  pursuant  to  California  Code 
of  Civil  Procedure,  section  170.6,  in  an  attempt  to  obtain  a 
different  judge  for  the  retrial.   At  that  time,  the 
pertinent  statute  (Code  of  Civil  Procedure,  section 
170.6(2))  provided  that  a  defendant  who  obtained  a  new  trial 
after  a  "reversal  on  appeal,"  could  file  a  peremptory 
challenge  against  the  original  trial  judge,  if  that  judge 
was  assigned  to  hear  the  retrial.   Because  the  defendant 
(Overton)  had  not  obtained  a  "reversal  on  appeal,"  but  had 
obtained  only  a  writ,  it  appeared  to  me  that  this  portion  of 
the  statute  did  not  entitle  him  to  challenge  the  original 
trial  judge.   However,  the  Court  of  Appeal  disagreed, 
holding  that  the  statutory  language  "reversal  on  appeal" 
should  be  construed  to  include  writ  proceedings,  thereby 
entitling  the  defendant  to  obtain  a  different  judge  for  the 
retrial . 

People   V.    Superior  Court    (Sturm)     (1992)  9  Cal.App.4th  172; 
11  Cal.Rptr.2d  652  (As  modified  September  1992) 
Sturm  was  convicted  of  murder.   During  the  penalty  phase  the 
issue  of  the  right  to  discovery  pursuant  to  Penal  Code 
Section  1054  was  raised.   I  ruled  that  the  penalty  phase  was 
not  a  "trial"  for  purposes  of  California  Penal  Code  Section 
1054.   Additionally,  I  ruled  that  discovery  would 
unreasonably  slow  the  penalty  phase,  that  it  would  have  a 
chilling  effect  on  potential  witnesses,  and  that  it  would  be 
unenforceable  by  the  courts.   The  Court  of  Appeal  reversed 
on  the  ground  that  the  penalty  phase  was  merely  a  phase  of 
the  trial  and  California  Penal  Code  Section  1054  was 
applicable  in  the  penalty  phase  of  a  trial. 


People   V.    Greenwood    (1986)  182  Cal.App.3d  729;  227  Cal.Rptr. 
539  (June  1986) 

In  a  drug  investigation,  the  police  had  the  trash  truck  pick 
up  defendant's  trash  which  was  located  on  the  sidewalk.   The 
trashman  was  instructed  to  keep  the  defendant's  trash 
separated  until  the  police  could  take  possession.   At  trial, 
a  motion  to  suppress  was  brought,  arguing  that  the  defendant 
had  a  right  to  privacy  of  his  trash.   I  believed  that  by 
placing  the  trash  on  the  public  sidewalk,  the  defendant  had 
waived  any  expectation  of  privacy.   Existing  California  law 
was  contrary  and  held  in  People  v.    Krivda    (1971)  5  Cal.3d 
357;  96  Cal.Rptr.  62;  486  P. 2d  1262,  that  such  warrantless 
trash  searches  were  illegal.   I  followed  the  existing  law 
and  suppressed  the  evidence.   The  court  of  appeal  affirmed. 

The  matter  went  to  the  United  States  Supreme  Court  in 

26 


408 


California    v.    Greenwood,    486,  U.S.  35.   The  Supreme  Court 
reversed,  holding  that  the  Fourth  Amendment  does  not 
prohibit  the  warrantless  search  and  seizure  of  garbage  left 
for  collection  outside  the  curtilage  of  a  home. 

UNPUBLISHED  COURT  OF  APPEAL  OPINIONS: 

1.  People   V.    Christy  Marie  Cleugh 
Court  of  Appeal  No.  G002901  12-26-86 
Superior  Court  Case  No.  C-53174 

I  dismissed  felony  charges  after  suppression  of  key 
evidence.  I  found  "there  were  many  fully  false  and  material 
fabrications  that  strike  at  the  very  heart  of  (the  search 
warrant]  affidavit."   I  refused  to  rule  on  the  issue  of  a 
good  faith  execution  of  the  warrant.   The  court  of  appeal 
reversed  requiring  the  trial  court  to  make  findings  on  the 
good  faith  execution  issue  raised  by  the  prosecution. 

2.  People   V.    Lester  Robert   Blakeman; 

Court  of  Appeal  Nos.  G003356;  G003527   4-28-87 
Superior  Court  Case  Nos.  C-56084  ;C-57570 
After  entering  a  guilty  plea  in  the  municipal  court, 
defendant  was  sent  to  the  superior  court  for  sentencing.  I 
sentenced  defendant  to  10  years  on  the  charges  and  a  trial 
was  set  two  and  one-half  months  later  on  the  issue  of  the 
prior  convictions.   The  case  was  sent  back  and  forth  between 
the  superior  court  and  municipal  for  reasons  stated  in  the 
opinion.   With  the  case  in  the  municipal  court  because  the 
defendant  had  the  right  to  be  sentenced  by  the  judge  who 
heard  the  trial,  the  municipal  court  imposed  an  additional 
10  years  for  the  priors.   The  judgment  was  affirmed  but  the 
sentencing  issue  was  reversed  on  the  ground  that  the  court 
had  pronounced  judgment  and  defendant  had  already  commenced 
his  sentence  on  the  ten  years  on  the  charges.   The  court  no 
longer  had  jurisdiction  to  add  to  the  sentence  after  the 
priors  were  found  true. 

In  the  second  case,  the  superior  court  was  not  involved. 
The  issue  was  vindictive  filing  of  additional  charges  in  a 
new  case.   This  matter,  still  in  the  municipal  court, 
resulted  in  a  reversal  by  the  court  of  appeal  and  an  order 
to  dismiss  the  charges. 

3.  People   V.    Frederick  Gene  Hinman 
Court  of  Appeal  Number  G003738  9-4-87 
Superior  Court  Case  No.  C-56585 

Defendant  argued  on  appeal  that  I"impermissibly  considered 

27 


409 


the  bereavement  of  the  victim's  family  as  a  circumstance  in 
aggravation"  at  the  time  of  sentencing.   I  had 
"balanced. .. the  feelings  of  the  parents  of  a  deceased  son 
who  dies  in  an  alley... the  loss  of  which  is  permanent 
against  the  mitigating  circumstance  of  Hinman's  horribly 
abusive  childhood."   The  court  of  appeal,  with  one  justice 
dissenting,  ruled  that  it  was  error  for  me  to  consider 
bereavement  of  the  parents  as  an  aggravating  circumstance 
and  remanded  for  resentencing. 

4.  People   V.    Charles   Swegles 

Court  of  Appeal  No.  G004484    5-30-89 
Superior  Court  Case  No.  C-59903 

Defendant  sought  to  suppress  all  evidence  seized  during  a 
search  with  a  search  warrant.  I  ruled  that  there  was 
probable  cause  to  support  the  warrant  but  ruled  that  the 
warrant  was  overbroad  and  suppressed  some  evidence.   On 
appeal,  defendant  argued  that  substantial  evidence  did  not 
support  my  determination  of  probable  cause  to  search 
defendant's  home.   I  was  ordered  to  vacate  my  denial  of  the 
motion  to  suppress. 

5.  People   V.    Paul    William  Jensen  ' 
Court  of  Appeal  No.  G003101   4-10-89 
Superior  Court  Case  No.  C-54343 

After  several  delays  due  to  failure  to  complete 
investigation  by  multiple  investigation  companies,  defendant 
became  dissatisfied  with  defense  counsel  and  moved  to 
replace  his  attorney.   Noting  that  it  was  a  rape  and  child 
molest  case,  I  denied  the  motion  on  the  ground  that  existing 
counsel  was  better  able  to  represent  the  defendant,  having 
gone  through  the  preliminary  hearing.   I  indicated  that  I 
would  allow  the  new  attorney  to  become  co-counsel.   The  new 
attorney  declined  to  act  as  co-counsel.   The  court  of  appeal 
ruled  that  I  erred  in  not  permitting  substitution  of 
counsel.   Further,  denial  of  defendant's  motion  to 
substitute  counsel  cannot  be  based  on  a  trial  court's 
practice  of  not  relieving  counsel  who  have 
represented  defendants  at  the  time  of  the  preliminary 
hearing  in  rape  and  child  molest  cases. 

6.  People  V.    Alfonzo  Lopez 

Court  of  ;^peal  Number  G011557   12-10-92 

Superior  Court  Case  No.  C-84644 

Defendant  changed  counsel  "several  times"  during  the  course 

of  the  prosecution.  When  defendant  sought  to  change 

attorneys  on  the  date  of  trial,  I  denied  his  motion  as 

untimely  without  inquiry  as  to  the  reason.   The  court  of 

28 


53-754  99  - 14 


410 


appeal  ruled  that,  in  such  a  situation,  I  should  have 
balanced  the  hardships  to  the  prosecution  and  the 
administration  of  justice  against  defendant's  real  or 
imagined  problem  with  his  attorney.   I  was  ordered  to 
conduct  a  hearing  on  whether  or  not  the  motion  to  substitute 
should  be  granted  or  denied. 

People   V.    Laurence  Baxter  Lynch 
Court  of  Appeal  Number  G012819   1-31-94 
Superior  Court  Case  No.  C-85741 

During  a  motion  to  suppress,  defendant  sought  certain 
information  regarding  a  confidential  informant.   Defense 
counsel  stipulated  to  an  in  camera  hearing  where  I  would  ask 
certain  questions  of  a  police  officer.   After  the  hearing,  I 
announced  that  I  had  asked  the  questions  and  was  terminating 
the  motion  and  ruling  against  defendant's  motion  to  disclose 
the  confidential  informer's  identity.   I  agreed  to  permit 
defense  counsel  to  ask  additional  questions  of  the  officer 
but  limited  the  scope  of  inquiry.   On  appeal,  defendant 
argued  that  I  had  denied  his  motion  without  affording  him  an 
adequate  opportunity  to  examine  the  officer  in  court 
regarding  the  reliability  of  the  confidential  informant. 
The  court  of  appeal  conceded  that,  based  on  the  information 
that  I  reviewed  in  camera,  if  believed,  the  confidential 
informer  was  reliable.   The  court  of  appeal  reversed, 
however,  on  the  ground  that  defendant  was  entitled  to 
determine  the  reliability  of  the  informant  in  open  court. 
The  prosecution  has  two  options,  (1)  do  not  use  the 
informant  or  (2)  be  prepared  to  establish  the  informant's 
reliability. 

People   V.    Jose   Luis   Guardiola 

Court  of  Appeal  Number  G015490   3-21-95 

Superior  Court  Case  No.  C-95602 

Defendant  was  convicted  of  child  molestation.   He  sought 

access  to  the  jurors  and  an  evidentiary  hearing  on  juror 

misconduct.   Defendant  alleged  that  three  jurors  were  heard 

discussing  the  case  during  a  break.   I  denied  defendant's 

motions.   The  court  of  appeal  ruled  that  I  erred  in  denying 

access  to  the  jurors'  addresses.   Further,  while  a  trial 

court  has  discretion  as  to  whether  to  hold  an  evidentiary 

hearing,  where  it  is  alleged  that  some  jurors  had  expressed 

opinion  as  to  guilt  midway  through  the  trial,  a  hearing  is 

indicated. 

People   V,  Stephen  Charles  Forde 
Court  of  i^peal  Number  G015324 
Superior  Court  Case  No.  C-70121 

29 


411 


Prior  to  trial,  defendant  moved  for  a  new  court-appointed 
attorney.   I  denied  the  motion.   After  being  convicted,  at  a 
motion  for  new  trial,  defendant  moved  for  a  new  court- 
appointed  attorney.   Failure  to  grant  the  motion  before 
trial  was  one  of  the  issues  supporting  a  motion  for  new 
trial.   At  the  motion  for  new  trial,  I  denied  the  motion  to 
relieve  defense  counsel  but  granted  defendant,  a  disbarred 
attorney,  co-counsel  status.   The  court  of  appeal  ruled  that 
I  erred  in  refusing  to  relieve  defense  counsel  on  two 
grounds:  (1)  that  the  defendant  had  once  been  an  attorney, 
and  (2)  there  was  no  prejudice  due  to  the  strength  of  the 
prosecution  case.   Also,  I  had  failed  to  read  all  of  the  400 
plus  page  type-written  and  hand-written  motion  prepared  by 
the  defendant. 

10.  People  V.  Caesar  Ceferino  Cruz 
Court  of  ^peal  Number  G017328 
Superior  Court  Case  No.  94CF3159 

The  defendant  pled  guilty  to  first  degree  burglary  and 
admitted  a  prior  conviction  under  the  "three-strikes"  law. 
I  imposed  a  total  term  of  eight  years;  the  midterm  of  four 
years  doubled  pursuant  to  Penal  Code  §667. 5(e) (1) .   I  did 
not  impose  a  separate  five-year  term  pursuant  to  §667 (a) (1). 
The  People  appealed  and  the  court  of  appeal  ruled  that  the 
Legislature  created  an  exception  in  the  "three  strikes" 
cases  to  the  prohibition  against  double  punishment  found  in 
Penal  Code  §654. 

I J .  Peopl e  V.    Roger  Vu 

Court  of  Appeal  Number  G017328 
Superior  Court  Case  No.  94NF2798 

The  defendant  pled  guilty  to  first  degree  burglary  and 
admitted  a  prior  conviction  under  the  "three-strikes"  law. 
I  imposed  a  total  term  of  eight  years;  the  midterm  of  four 
years  doubled  pursuant  to  Penal  Code  §667.5 (e) (1) .   The 
court  did  not  impose  a  separate  five-year  term  pursuant  to 
§667 (a) (1).   The  People  appealed  and  the  court  of  appeal 
ruled  that  the  Legislature  created  an  exception  in  the 
"three  strikes"  cases  to  the  prohibition  against  double 
punishment  found  in  Penal  Code  §654 . 

12.  People  V.    Francisco  Rodriguez 

Court  of  Appeal  Number  G017448   8-29-96 

Superior  Court  Case  No.  94CF3070 

This  case  concerned  California's  "Three  Strikes"  law. 

Defendant  pled  guilty  to  various  narcotics  offenses  and 

admitted  two  prior  serious  felonies.   Because  the  priors  had 

been  alleged  in  the  same  accusatory  pleading,  I  believed 

30 


412 


that  they  must  be  considered  one  "strike."   The  People 
appealed,  arguing  that  they  must  be  considered  two 
"strikes."   The  Court  of  Appeal  agreed  with  the  People's 
interpretation  of  the  Three  Strikes  Law  (Penal  Code  section 
667(c)(6),  but  remanded  the  matter  back  to  the  trial  court, 
giving  me  the  opportunity  to  exercise  my  discretion  to 
dismiss  one  of  the  prior  convictions  in  the  furtherance  of 
justice.   (See  Exhibit  "B") 

3.    Citations  for  significant  opinions  on  federal  or  state 
constitutional  issues,  together  with  the  citations  to 
appellate  court  rulings  on  such  opinions. 

In   Re  Request   for   Transcripts   of  Phase    Three  Grand  Jury 
Proceedings;   Merrill    Lynch,    Et   Al . ;    97  Daily  Journal.  DAR 
10765  8/21/97);  Superior  Court  Case  No.  M-8102 

I  have  included  a  copy  of  my  decision  and  the  District  Court 
of  Appeal's  Opinion. 

(See  Exhibit  "C") 

16.  P\ihlir;  Office:   State  (chronologically)  any  public  offices 
you  have  held,  other  than  judicial  offices,  including  the 
terms  of  service  and  whether  such  positions  were  elected  or 
appointed.   State  (chronologically)  any  unsuccessful 
candidacies  for  elective  public  offices. 

I  was  a  congressional  candidate  for  the  38th  Congressional 
District  in  1986.   I  was  defeated  in  the  Democratic  Primary. 

17.  Legal  Career: 

a.    Describe  chronologically  your  law  practice  and 

experience  after  graduation  from  law  school  including: 

1.  whether  you  served  as  a  cleric  for  a  ^udge,  and  if 
so,  the  name  of  the  judge,  the  court,  and  the 
dates  of  the  period  you  were  a  clerk ; 

I  did  not  clerk  for  a  judge. 

2.  whether  you  practiced  alone,  and  if  so,  the 
addresses  and  dates ; 

I  did  not  practice  alone. 


31 


418 


tha  datas,  namas  and  addrasaas  of  law  firms  or 
of fleas,  companias  or  govarnmantal  agancias  with 
which  you  hava  baan  connactad,  and  tha  natura  of 
your  connaction  with  aach: 

Orange  County  District  Attorney's  Office 

700  Civic  Center  Drive  West 

Santa  Ana,  California  92701 

1972-1973.   Deputy  District  Attorney  First  Level. 

I  prosecuted  misdemeanor  offenses. 

1974-1975.  Deputy  District  Attorney  Second  Level 
and  Third  Level.   I  was  assigned  to  the  felony 
panel  and  prosecuted  major  felony  cases. 

1975-1981.   Deputy  District  Attorney,  Fourth 
Level.   I  spent  five  years  prosecuting  homicide 
cases.   My  specialty  was  serial  killers  and 
murderers  who  committed  heinous  and  complex 
crimes . 

September  8, 1981-February  2,  1982. 

Municipal  Court,  .West  Orange  County 

Judicial  District 

8141-13th  Street 

Westminster,  California   92683-4593 

Judge  of  the  Municipal  Court. 

I  presided  over  misdemeanor  criminal  trials,  civil 

cases  where  the  amount  in  controversy  was  less 

than  $25,000.   I  heard  Small  Claims  actions  and 

felony  preliminary  hearings. 

February  3,  1982-December  21,  1982. 

Municipal  Court,  South  Orange  County 

Judicial  District 

30143  Crown  Valley  Parkway 

Laguna  Niguel,  California   92677-2033 

Judge  of  the  Municipal  Court. 

I  presided  over  misdemeanor  criminal  trials,  civil 

cases  where  the  amount  in  controversy  was  less 

than  $25,000.   I  heard  Small  Claims  actions  and 

felony  preliminary  hearings. 

December  21,  1982-1983. 
Superior  Court-Orange  County 
700  Civic  Center  Drive,  West 
P.O.  Box  1994 
Santa  Ana,  California   92701 


32 


414 


Judge  of  the  Superior  Court. 

I  was  assigned  to  the  complex  criminal  trial  court 

panel . 


1983-1986 

Judge  of  the  Superior  Court. 

Supervising  Judge  of  the  Criminal  Courts  of  Orange 

County. 

I  presided  over  all  felony  arraignments  and 

probation  violations  in  Orange  County. 

1986-1987 

Judge  of  the  Superior  Court. 

I  was  assigned  to  the  Juvenile  Court  and  presided 

over  juvenile  cases  and  dependency  matters. 

1987-1988 

Judge  of  the  Superior  Court. 

Supervisor  of  the  Superior  Courts  assigned  to  the 

Harbor  and  South  Judicial  Districts  as  well  as  a 

general  trial  assignment. 

1988-1989 

Judge  of  the  Superior  Court. 

Assistant  Supervising  Judge  of  the  Criminal  Courts 

of  Orange  County. 

All  probation  violation  cases  were  assigned  to  my 

department  for  arraignment  and  hearings. 

1990-1994 

Judge  of  the  Superior  Court. 

Complex  criminal  trial  court. 

I  presided  over  complex  criminal  trials. 

1995-1997 

Judge  of  the  Superior  Court. 

Supervising  Judge  of  the  Criminal  Courts  of  Orange 

County. 

I  presided  over  all  felony  arraignments  and 

probation  violations  in  Orange  County. 

1997-Present 

Judge  of  the  Superior  Court. 

Complex  criminal  trial  court. 

I  preside  over  complex  criminal  trials. 

b.    1.   What  has  b««n  the  general  character  of  your 
33 


415 


law  practice,  dividing  it  into  periods  with 
dates  of  its  character  has  changed  over  the 
years? 

I  was  a  prosecutor  for  nine  years  in  the 
Orange  County's  District  Attorney's  office 
prior  to  being  appointed  a  judge.   I  spent 
one  and  one-half  years  prosecuting 
misdemeanors,  a  little  over  one  year 
prosecuting  major  felonies,  and  was  appointed 
to  the  homicide  section  of  the  Orange  County 
District  Attorney's  office  where  I  spent  the 
majority  of  my  career  prosecuting  murder 
cases.   My  specialty  was  serial  killers  and 
murderers  who  committed  heinous  and  complex 
crimes . 

2.    Describe  your  typical  former  clients,  and 

mention  the  areas,  if  any,  in  which  you  have 
specialized. 

The  People  of  the  State  of  California  were  my 
clients.  I  specialized  in  complex  murder 
cases . 

1.  Did  you  appear  in  court  frequently, 
occasionally,  or  not  at  all?   If  the 
frequency  of  your  appearances  in  court 
varied,  describe  each  such  variance,  giving 
dates . 

As  a  Deputy  District  Attorney,  I  appeared  in 
Court  frequently. 

2.  What  percentage  of  these  appearances  was  in: 

(a)  federal  courts; 

0% 

(b)  state  courts  of  record; 

100% 

(c)  other  courts. 

0% 

3.  What  percentage  of  your  litigation  was: 

(a)   civil; 

0% 


34 


416 


(b)   criminal. 

100% 

4 .    State  the  number  of  cases  in  courts  of  record 
you  tried  to  verdict  or  judgment  (rather  than 
settled) ,  indicating  whether  you  were  sole 
counsel,  chief  counsel,  or  associate  counsel. 

As  sole  counsel,  I  tried  125-150  cases  to 
verdict. 

5.    What  percentage  of  these  trials  was: 

(a)  jury; 

100% 

(b)  non-jury. 

0% 

18.   Litigation;     Describe  the  ten  most  significant  litigated 
matters  which  you  personally  handled.   Give  the  citations, 
if  the  cases  were  reported,  and  the  docket  number  and  date 
if  unreported.   Give  a  capsule  summary  of  the  substance  of 
each  case.   Identify  the  party  or  parties  whom  you 
represented;  describe  in  detail  the  nature  of  your 
participation  in  the  litigation  and  the  final  disposition  of 
the  case.   Also  state  as  to  each  case: 

(a)  the  data  of  representation; 

(b)  the  name  of  the  court  and  the  name  of  the  judge  or 
judges  before  whom  the  case  was  litigated; 

(c)  the  individual  name,  addresses,  and  telephone 
numbers  of  co-counsel  and  of  principal  counsel  for 
each  of  the  other  parties. 

I.    People   V.  William  Bonin,    aka    The  Freeway  Killer    (1980-1981) 
Superior  Court  Case  Number:  C-47500;  Crim  23286;  California 
Supreme  Court  No.  S004565 
Judge:         Kenneth  Lae,  Orange  County  Superior  Court 

(deceased) 
Opposing  Counsel: 

William  Charvet  (Unknown) 

Last  Icnown  address  18627  Brookhurst  Street, 

#186 

Fountain  Valley,  California  92708 

California  Bar  No.  65429/Resigned 

35 


417 


Description:    Mr.  Bonin  was  charged  with  the  brutal  slaying 
of  twenty-one  young  males  across  Southern 
California  in  the  late  1970's  and  early  1980. 
This  was  a  highly  publicized  prosecution 
known  as  the  "Freeway  Killer." 

I  was  the  prosecutor  assigned  to  the  case 
involving  those  young  males  killed  in  Orange 
County.   I  indicted  Mr.  Bonin  after  a  lengthy 
investigative  phase.   The  Grand  Jury 
proceeding  was  lengthy  and  involved  complex 
factual,  legal,  and  evidentiary  issues. 
Among  the  issues  were  questions  involving  the 
California  Shield  Law.   Mr.  Bonin  had  spoken 
to  reporters  and  invoking  the  Shield  Law,  the 
reporters  refused  to  testify  against  Bonin. 
Additionally,  because  one  of  Benin's 
accomplices  hung  himself  just  prior  to  the 
Grand  Jury  proceedings,  the  evidence  was 
extremely  complicated  and  circumstantial 
consisting  primarily  of  matching  fibers  found 
on  the  bodies  of  each  nude  victim  to  carpet 
fibers  and  dye  lots  in  Benin's  van.   At 
pretrial,  we  decided  not  to  request  the  death 
penalty  for  Bonin 's  remaining  accomplice  in 
exchange  for  his  testimony  against  William 
Bonin.  This  allowed  us  to  have  one  eye- 
witness to  Benin's  acts  during  murders 
committed  by  him.   Because  all  of  the 
remaining  murders  were  strikingly  similar,  we 
were  able  to  introduce  at  least  four  other 
murders  Bonin  committed  under  Evidence  Code 
Section  1101(b),  Identity  Evidence. 

The  magnitude  of  these  crimes  and  the  anguish 
of  these  families  perhaps  outweighed  the 
legal  issues.   For  example,  Mr.  Bonin  killed 
additional  victims,  and  on  one  occasion  we 
promised  no  prosecution  for  an  additional 
murder  if  he  would  locate  the  body  of  the 
victim  so  the  family  could  conduct  a  funeral. 
Because  I  was  appointed  to  the  Orange  County 
Municipal  Court  in  September  1981,  I  did  not 
prosecute  this  case  beyond  the  indictment  and 
pretrial  motions. 


Mr.  Benin  was  convicted.   Several  years 
later,  after  exhausting  his  lengthy  appeals 
to  the  California  Supreme  Court  and  review  by 


36 


418 


the  Federal  Courts,  he  was  put  to  death  in 
San  Quentin  in  1997. 

People   V.    Larry  Smith    (1979-1980) 

Superior  Court  Case  Number:  C-43614;  Court  of  Appeal 

No.  G000874 

Judge:         Leonard  McBride,  Orange  County  Superior  Court 

Opposing  Counsel: 

Terry  Giles,  Esq. 

P.O.  Box  9558 

Rancho  Santa  Fe,  California 

telephone:  (714)  973-9073 

Description:    The  victim,  the  daughter  of  a  prominent 

Orange  County  family,  went  on  a  date  with  the 
defendant  which  turned  into  a  kidnapping. 
The  defendant  demanded  over  $1,000,000  for 
her  return.  The  victim  was  apparently  hit 
numerous  times  with  an  anchor  and  thrown  from 
a  small  boat  into  the  ocean.   The  victim's 
body  was  never  recovered. 

The  legal  issues  and  factual  issues  were 
extremely  complex.   This  was  the  first  "no- 
body" case  in  Orange  County  history  and  one 
of  the  few  "no-body"  cases  in  legal  history. 
Thus,  the  case  was  almost  entirely 
circumstantial . 

This  case  was  one  of  the  first  cases 
involving  blood  serology.   We  called  over 
thirty  witnesses  to  testify  that  the  victim's 
normal  life  activities  had  suddenly  ceased. 

Mr.  Smith  was  convicted  of  First  Degree 
Murder  with  Special  Circumstances.   Mr.  Smith 
is  serving  life  without  the  possibility  of 
parole. 

People   V.    Michael   David  Sullivan    (1976) 

Superior  Court  Case  Number:  C-35255;  Court  of  Appeal  No. 

Unavailable. 

Judge:         William  Murray,  Orange  County  Superior  Court 

(deceased) 
Opposing  Counsel: 

Tom  Brown 

P.O.  Box  10099 

Santa  Ana,  California 

telephone: (714)  542-3518 
Description:   After  arguing  with  a  bartender,  Mr.  Sullivan 

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419 


left  the  bar,  and  returned  with  a  gun  to  the 
alley  next  to  the  bar.  He  shot  and  killed  a 
patron  dressed  similarly  to  the  bartender 
when  that  patron  exited  the  bar.  Sullivan  had 
ingested  over  one  hundred  Valium  pills  in  the 
preceding  three  days.   He  had  also  ingested 
alcohol  on  the  date  of  the  homicide. 

This  highly  publicized  case  involved 
extensive  psychiatric  and  psycho- 
pharmacological  testimony.   The  mental  issues 
of  present  mental  competency,  diminished 
capacity,  and  the  plea  of  "Not  Guilty  by 
Reason  of  Insanity, "  were  the  focus  of  this 
lengthy  trial.   This  case  was  also  precedent 
setting  on  the  issue  of  transferred  intent 
regarding  malice  aforethought. 

Mr.  Sullivan  was  convicted  of  First  Degree 
Murder.   At  that  time,  California  had  not  yet 
reinstated  the  death  penalty. 

People   V.  Michael  Ray  Simmons   '(1980) 
Darryl  Bernard  Watts 
Benjamin  Montgomery 
Superior  Court  Case  Number:  C-44322;  Court  of  ^peal 
No.  G006552 
Judge:         Kenneth  Lae,  Orange  County  Superior  Court 

(deceased) 
Opposing  Counsel: 

John  Barnett 

1  City  Boulevard,  #308 

Orange,  California 

telephone: (714)  634-2522 

Charles  Marginess 

(Currently  Municipal  Court  Judge) 

Central  Orange  County 

700  Civic  Center  Drive  West 

Santa  Ana,  California  92701 

telephone:  (714)  834-3575 

Robert  Kazer 

203  North  Golden  Circle,  #203 

P.O.  Box  12639 

Santa  Ana,  California 

telephone:  (714)558-2860 


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420 


Description:    This  was  a  case  highly  publicized  throughout 
Southern  California,  which  involved  three 
defendants  who  went  on  a  one  night  crime 
spree  in  Southern  Orange  County.   The  trio 
broke  into  a  Laguna  Beach  home  and  pistol 
whipped  the  male  occupant  after  chasing  his 
wife  through  the  house  in  an  attempt  to  rape 
her . 

The  three  defendants  then  drove  to  an  El  Tore 
home  and  gained  entrance  by  holding  a  gun  to 
a  woman's  head  when  she  returned  at  night 
from  church  activities.   Once  inside  the 
house,  they  restrained  the  husband  and  wife. 
While  ransacking  the  house,  they  found  the 
couple's  fourteen  year  old  daughter  asleep  in 
her  upstairs  bedroom.   The  defendants  tied 
the  girl  to  the  bed  and  took  turns  repeatedly 
raping  her  while  the  parents  lay  watching  a 
short  distance  away. 

This  case  involved  a  novel  legal  concept  of 
first  impression.   California  did  not,  at 
that  time,  have  "Rape  in  Concert  Law"  which 
would  have  increased  penalties.   I 
successfully  charged  and  argued  that  each 
defendant  was  not  only  an  accomplice,  but  was 
also  criminally  responsible  for  each  of  the 
three  rapes  and  thus  should  receive  increased 
penalties.   The  jury  rendered  verdicts  on 
this  novel  theory  and  the  California 
legislature  subsequently  added  increased 
penalties  for  rape  in  concert.   This  case  was 
the  forerunner  of  the  concept  of  increased 
punishment  for  multiple  offenders  committing 
the  same  act  of  rape. 

The  juvenile  defendant  was  eligible  for  the 
California  Youth  Authority.   On  the  eve  of 
his  sentencing,  I  discovered  through  a 
telephone  call  from  a  Sheriff's  Deputy  that 
he  had  sodomized  a  young  male  inmate.   In 
late  evening  sentencing  sessions,  he  was 
sentenced  to  state  prison  rather  than  the 
California  Youth  Authority  based  on  this 
information.   This  concept  of  aggravating 
testimony  was  novel  in  California  in  the 
1970's. 


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People   V.    James  Spring    (1980-1981) 

Superior  Court  Case  Number:  C-44023;  Court  of  Appeal 

No.  G000574 

Judge:         James  Turner,  Orange  County  Superior  Court 

Opposing  Counsel: 

Ronald  Butler,  former  Public  Defender  of 
Orange  County,  California.   He  can  be  reached 
at  the  Orange  County  Public  Defenders  Office, 
901  Civic  Center  Drive  West,  #200 
Santa  Ana,  California  92701 
(714)  834-2144 

Description:    Mr.  Spring  was  prosecuted  for  causing  the 

death  of  Father  Felix  Doherty  in  Seal  Beach, 
California.   This  was  a  highly  publicized 
case  which  was  reported  throughout  Southern 
California.   Mr.  Spring  struck  the  priest 
with  his  fist.   This  unprovoked  attacked 
occurred  at  the  back  door  of  the  Seal  Beach 
Catholic  Church. 

One  week  later,  Father  Doherty  collapsed 
after  complaining  of  headaches.   An  autopsy 
revealed  the  cause  of  death  to  be  "subdural 
hematoma . " 

This  case  involved  complex  investigation, 
proof  issues,  causation  of  death  issues, 
psychiatric  testimony,  and  other  complex 
legal  issues. 

Tape  recordings  were  obtained  of  threatening 
telephone  calls  Mr.  Spring  had  made  to  the 
Chicago  Archdiocese.   Mr.  Spring  believed  the 
Archdiocese  was  holding  his  high